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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 33:33:1.0.1.6.47.1.26.1 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 96.100 Purpose. | USCG | This subpart implements Chapter IX of the International Convention for the Safety of Life at Sea (SOLAS), 1974, International Management Code for the Safe Operation of Ships and for Pollution Prevention (International Safety Management (ISM) Code), as required by 46 U.S.C. Chapter 32. Chapter IX of SOLAS is available from the International Maritime Organization, Publication Section, 4 Albert Embankment, London, SE1 75R, United Kingdom, Telex 23588. Please include document reference number “IMO-190E” in your request. | ||||
| 33:33:1.0.1.6.47.1.26.2 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 96.110 Who does this subpart apply to? | USCG | This subpart applies to you if— (a) You are a responsible person who owns a U.S. vessel(s) and must comply with Chapter IX of SOLAS; (b) You are a responsible person who owns a U.S. vessel(s) that is not required to comply with Chapter IX of SOLAS, but requests application of this subpart; (c) You are a responsible person who owns a foreign vessel(s) engaged on a foreign voyage, bound for ports or places under the jurisdiction of the U.S., which must comply with Chapter IX of SOLAS; or (d) You are a recognized organization applying for authorization to act on behalf of the U.S. to conduct safety management audits and issue international convention certificates. | ||||
| 33:33:1.0.1.6.47.1.26.3 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 96.120 Definitions. | USCG | (a) Unless otherwise stated in this section, the definitions in Chapter IX, Regulation 1 of the International Convention for the Safety of Life at Sea (SOLAS) apply to this part. (b) As used in this part— Administration means the Government of the State whose flag the ship is entitled to fly. Authorized Organization Acting on behalf of the U.S. means an organization that is recognized by the Commandant of the U.S. Coast Guard under the minimum standards of subparts A and B of 46 CFR part 8, and has been authorized under this section to conduct certain actions and certifications on behalf of the United States. Captain of the Port (COTP) means the U.S. Coast Guard officer as described in 33 CFR 6.01-3, commanding a Captain of the Port zone described in 33 CFR part 3, or that person's authorized representative. Commandant means the Commandant, U.S. Coast Guard. Company means the owner of a vessel, or any other organization or person such as the manager or the bareboat charterer of a vessel, who has assumed the responsibility for operation of the vessel from the shipowner and who on assuming responsibility has agreed to take over all the duties and responsibilities imposed by this part or the ISM Code. Designated person means a person or persons designated in writing by the responsible person who monitors the safety management system of the company and vessel and has: (1) Direct access to communicate with the highest levels of the company and with all management levels ashore and aboard the company's vessel(s); (2) Responsibility to monitor the safety and environmental aspects of the operation of each vessel; and (3) Responsibility to ensure there are adequate support and shore-based resources for vessel(s) operations. Document of Compliance means a certificate issued to a company or responsible person that complies with the requirements of this part or the ISM Code. International Safety Management (ISM) Code means the International Management Code for the Safe Operation of Ships and Pollution Pre… | ||||
| 33:33:1.0.1.6.47.1.26.4 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 96.130 Incorporation by reference. | USCG | [CGD 95-073, 62 FR 67506, Dec. 24, 1997, as amended at 69 FR 18803, Apr. 9, 2004] | (a) The Director of the Federal Register approves certain material that is incorporated by reference into this subpart under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in paragraph (b) of this section, the Coast Guard must publish notice of the change in the Federal Register and the material must be available to the public. You may inspect all material at the Coast Guard Headquarters. Contact Commandant (CG-ENG), Attn: Office of Design and Engineering Standards, U.S. Coast Guard Stop 7509, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7509. The material is also available at the National Archives and Records Administration (NARA) and from the source listed in paragraph (b) of this section. For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (b) The material approved for incorporation by reference in this subpart and the sections affected are as follows: American National Standards Institute (ANSI) —11 West 42nd St., New York, NY 10036. ANSI/ASQC Q9001-1994, Quality Systems—Model for Quality Assurance in Design, Development, Production, Installation, and Servicing, 1994—96.430 International Maritime Organization IMO —4 Albert Embankment, London, SE1 7SR, United Kingdom. Resolution A.741(18), International Management Code for the Safe Operation of Ships and for Pollution Prevention, November 4, 1993—96.220, 96.370 Resolution A.788 (19), Guidelines on Implementation of the International Safety Management (ISM) Code by Administrations, November 23, 1995—96.320, 96.440 Resolution A.739(18), Guidelines for the Authorization of Organizations Acting on Behalf of the Administration, November 4, 1993—96.440 American National Standards Institute (ANSI) —11 West 42nd St., New York, NY 10036. International Maritime Organization IMO —4 Albert Embankment, London, SE1 7SR, United Kingdom. | |||
| 33:33:1.0.1.6.47.2.26.1 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | B | Subpart B—Company and Vessel Safety Management Systems | § 96.200 Purpose. | USCG | This subpart establishes the minimum standards that the safety management system of a company and its U.S. flag vessel(s) must meet for certification to comply with the requirements of 46 U.S.C. 3201-3205 and Chapter IX of SOLAS, 1974. It also permits companies with U.S. flag vessels that are not required to comply with this part to voluntarily develop safety management systems which can be certificated to standards consistent with Chapter IX of SOLAS. | ||||
| 33:33:1.0.1.6.47.2.26.2 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | B | Subpart B—Company and Vessel Safety Management Systems | § 96.210 Who does this subpart apply to? | USCG | (a) This subpart applies— (1) To a responsible person who owns or operates a U.S. vessel(s) engaged on a foreign voyage which meet the conditions of paragraph (a)(2) of this section; (2) To all U.S. vessels engaged on a foreign voyage that are— (i) A vessel transporting more than 12 passengers; or (ii) A tanker, a bulk freight vessel, a freight vessel or a self-propelled mobile offshore drilling unit (MODU) of 500 gross tons or more; and (3) To all foreign vessels engaged on a foreign voyage, bound for ports or places under the jurisdiction of the U.S., and subject to Chapter IX of SOLAS. (b) This subpart does not apply to— (1) A barge; (2) A recreational vessel not engaged in commercial service; (3) A fishing vessel; (4) A vessel operating only on the Great Lakes or its tributary and connecting waters; or (5) A public vessel, which includes a U.S. vessel of the National Defense Reserve Fleet owned by the U.S. Maritime Administration and operated in non-commercial service. (c) Any responsible person and their company who owns and operates a U.S. flag vessel(s) which does not meet the conditions of paragraph (a), may voluntarily meet the standards of this part and Chapter IX of SOLAS and have their safety management systems certificated. (d) The compliance date for the requirements of this part are— (1) On or after July 1, 1998, for— (i) Vessels transporting more than 12 passengers engaged on a foreign voyage; or (ii) Tankers, bulk freight vessels, or high speed freight vessels of at least 500 gross tons or more, engaged on a foreign voyage. (2) On or after July 1, 2002, for other freight vessels and self-propelled mobile offshore drilling units (MODUs) of at least 500 gross tons or more, engaged on a foreign voyage. | ||||
| 33:33:1.0.1.6.47.2.26.3 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | B | Subpart B—Company and Vessel Safety Management Systems | § 96.220 What makes up a safety management system? | USCG | (a) The safety management system must document the responsible person's— (1) Safety and pollution prevention policy; (2) Functional safety and operational requirements; (3) Recordkeeping responsibilities; and (4) Reporting responsibilities. (b) A safety management system must also be consistent with the functional standards and performance elements of IMO Resolution A.741(18). | ||||
| 33:33:1.0.1.6.47.2.26.4 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | B | Subpart B—Company and Vessel Safety Management Systems | § 96.230 What objectives must a safety management system meet? | USCG | The safety management system must: (a) Provide for safe practices in vessel operation and a safe work environment onboard the type of vessel the system is developed for; (b) Establish and implement safeguards against all identified risks; (c) Establish and implement actions to continuously improve safety management skills of personnel ashore and aboard vessels, including preparation for emergencies related to both safety and environmental protection; and (d) Ensure compliance with mandatory rules and regulations, taking into account relevant national and international regulations, standards, codes and maritime industry guidelines, when developing procedures and policies for the safety management system. | ||||
| 33:33:1.0.1.6.47.2.26.5 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | B | Subpart B—Company and Vessel Safety Management Systems | § 96.240 What functional requirements must a safety management system meet? | USCG | The functional requirements of a safety management system must include— (a) A written statement from the responsible person stating the company's safety and environmental protection policy; (b) Instructions and procedures to provide direction for the safe operation of the vessel and protection of the environment in compliance with the applicable U.S. Code of Federal Regulations, and international conventions to which the U.S. is a party (SOLAS, MARPOL, etc.); (c) Documents showing the levels of authority and lines of communication between shoreside and shipboard personnel; (d) Procedures for reporting accidents, near accidents, and non-conformities with provisions of the company's and vessel's safety management system, and the ISM Code; (e) Procedures to prepare for and respond to emergency situations by shoreside and shipboard personnel; (f) Procedures for internal audits on the operation of the company and vessel(s) safety management system; and (g) Procedures and processes for management review of company internal audit reports and correction of non-conformities that are reported by these or other reports. | ||||
| 33:33:1.0.1.6.47.2.26.6 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | B | Subpart B—Company and Vessel Safety Management Systems | § 96.250 What documents and reports must a safety management system have? | USCG | The documents and reports required for a safety management system under § 96.330 or § 96.340 must include the written documents and reports itemized in Table 96.250. These documents and reports must be available to the company's shore-based and vessel(s)-based personnel: Table 96.250—Safety Management System Documents and Reports Note: The documents and reports required by this part are for the purpose of promoting safety of life and property at sea, as well as protection of the environment. The documents and reports are intended to ensure the communication and understanding of company and vessel safety management systems, which will allow a measure of the systems effectiveness and its responsible person to continuously improve the system and safety the system provides. | ||||
| 33:33:1.0.1.6.47.3.26.1 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | C | Subpart C—How Will Safety Management Systems Be Certificated and Enforced? | § 96.300 Purpose. | USCG | This subpart establishes the standards for the responsible person of a company and its vessel(s) to obtain the required and voluntary, national and international certification for the company's and vessel's safety management system. | ||||
| 33:33:1.0.1.6.47.3.26.10 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | C | Subpart C—How Will Safety Management Systems Be Certificated and Enforced? | § 96.390 When will the Coast Guard deny entry into a U.S. port? | USCG | (a) Except for a foreign vessel entering U.S. waters under force majeure, no vessel shall enter any port or terminal of the U.S. without a safety management system that has been properly certificated to this subpart or to the requirements of Chapter IX of SOLAS if— (1) It is engaged on a foreign voyage; and (2) It is carrying more than 12 passengers, or a tanker, bulk freight vessel, freight vessel, or self-propelled mobile offshore drilling unit of 500 gross tons or more. (b) The cognizant COTP will deny entry of a vessel into a port or terminal under the authority of 46 U.S.C. 3204(c), to any vessel that does not meet the requirements of paragraph (a) of this section. | ||||
| 33:33:1.0.1.6.47.3.26.2 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | C | Subpart C—How Will Safety Management Systems Be Certificated and Enforced? | § 96.310 Who does this subpart apply to? | USCG | This subpart applies: (a) If you are a responsible person who owns a vessel(s) registered in the U.S. and engaged on a foreign voyage(s), or holds certificates or endorsement of such voyages; (b) If you are a responsible person who owns a vessel(s) registered in the U.S. and volunteer to meet the standards of this part and Chapter IX of SOLAS; (c) To all foreign vessels engaged on a foreign voyage, bound for ports or places under the jurisdiction of the U.S., and subject to Chapter IX of SOLAS; or (d) If you are a recognized organization authorized by the U.S. to complete safety management audits and certification required by this part. | ||||
| 33:33:1.0.1.6.47.3.26.3 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | C | Subpart C—How Will Safety Management Systems Be Certificated and Enforced? | § 96.320 What is involved to complete a safety management audit and when is it required to be completed? | USCG | (a) A safety management audit is any of the following: (1) An initial audit which is carried out before a Document of Compliance certificate or a Safety Management Certificate is issued; (2) A renewal audit which is carried out before the renewal of a Document of Compliance certificate or a Safety Management Certificate; (3) Periodic audits including— (i) An annual verification audit, as described in § 96.330(f) of this part, and (ii) An intermediate verification audit, as described in § 96.340(e)(2) of this part. (b) A satisfactory audit means that the auditor(s) agrees that the requirements of this part are met, based on review and verification of the procedures and documents that make up the safety management system. (c) Actions required during safety management audits for a company and their U.S. vessel(s) are— (1) Review and verify the procedures and documents that make up a safety management system, as defined in subpart B of this part. (2) Make sure the audit complies with this subpart and is consistent with IMO Resolution A.788(19), Guidelines on Implementation of the International Safety Management (ISM) Code by Administrations. (3) Make sure the audit is carried out by a team of Coast Guard auditors or auditors assigned by a recognized organization authorized to complete such actions by subpart D of this part. (d) Safety management audits for a company and their U.S. vessel(s) are required— (1) Before issuing or renewing a Document of Compliance certificate, and to keep a Document of Compliance certificate valid, as described in §§ 96.330 and 96.340 of this part. (2) Before issuing or renewing a Safety Management Certificate, and to maintain the validity of a Safety Management Certificate, as described in § 96.340 of this part. However, any safety management audit for the purpose of verifying a vessel's safety management system will not be scheduled or conducted for a company's U.S. vessel unless the company first has undergone a safety management audit of the company's safety management s… | ||||
| 33:33:1.0.1.6.47.3.26.4 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | C | Subpart C—How Will Safety Management Systems Be Certificated and Enforced? | § 96.330 Document of Compliance certificate: what is it and when is it needed? | USCG | (a) You must hold a valid Document of Compliance certificate if you are the responsible person who, or company which, owns a U.S. vessel engaged on foreign voyages, carrying more than 12 passengers, or is a tanker, bulk freight vessel, freight vessel, or a self-propelled mobile offshore drilling unit of 500 gross tons or more. (b) You may voluntarily hold a valid Document of Compliance certificate, if you are a responsible person who, or a company which, owns a U.S. vessel not included in paragraph (a) of this section. (c) You will be issued a Document of Compliance certificate only after you complete a satisfactory safety management audit as described in § 96.320 of this part. (d) All U.S. and foreign vessels that carry more than 12 passengers or a tanker, bulk freight vessel, freight vessel, or a self-propelled mobile offshore drilling unit of 500 gross tons or more, must carry a valid copy of the company's Document of Compliance certificate onboard when on a foreign voyage. (e) A valid Document of Compliance certificate covers the type of vessel(s) on which a company's safety management system initial safety management audit was based. The validity of the Document of Compliance certificate may be extended to cover additional types of vessels after a satisfactory safety management audit is completed on the company's safety management system which includes those additional vessel types. (f) A Document of Compliance certificate is valid for 60 months. The company's safety management system must be verified annually by the Coast Guard or by an authorized organization acting on behalf of the U.S. through a safety management verification audit, within three months before or after the certificate's anniversary date. (g) Only the Coast Guard may revoke a Document of Compliance certificate from a company which owns a U.S. vessel. The Document of Compliance certificate may be revoked if— (1) The annual safety management audit and system verification required by paragraph (f) of this section is not completed by th… | ||||
| 33:33:1.0.1.6.47.3.26.5 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | C | Subpart C—How Will Safety Management Systems Be Certificated and Enforced? | § 96.340 Safety Management Certificate: what is it and when is it needed? | USCG | [CGD 95-073, 62 FR 67506, Dec. 24, 1997, as amended by USCG-1999-5832, 64 FR 34712, June 29, 1999] | (a) Your U.S. vessel engaged on a foreign voyage must hold a valid Safety Management Certificate if it carries more than 12 passengers, or if it is a tanker, bulk freight vessel, freight vessel, or a self-propelled mobile offshore drilling unit of 500 gross tons or more. (b) Your U.S. vessel may voluntarily hold a valid Safety Management Certificate even if your vessel is not required to by paragraph (a) of this section. (c) Your U.S. vessel may only be issued a Safety Management Certificate or have it renewed when your company holds a valid Document of Compliance certificate issued under § 96.330 of this part and the vessel has completed a satisfactory safety management audit of the vessel's safety management system set out in § 96.320 of this part. (d) A copy of your vessel's valid Safety Management Certificate must be on board all U.S. and foreign vessels which carry more than 12 passengers, and must be on board a tanker, bulk freight vessel, freight vessel, or a self-propelled mobile offshore drilling unit of 500 gross tons or more, when engaged on foreign voyages or within U.S. waters. (e) A Safety Management Certificate is valid for 60 months. The validity of the Safety Management Certificate is based on— (1) A satisfactory initial safety management audit; (2) A satisfactory intermediate verification audit requested by the vessel's responsible person, completed between the 24th and 36th month of the certificate's period of validity; and (3) A vessel's company holding a valid Document of Compliance certificate. When a company's Document of Compliance certificate expires or is revoked, the Safety Management Certificate for the company-owned vessel(s) is invalid. (f) Renewal of a Safety Management Certificate requires the completion of a satisfactory safety management system audit which meets all of the requirements of subpart B in this part. A renewal of a Safety Management Certificate cannot be started unless the company which owns the vessel holds a valid Document of Compliance certificate. (g) Onl… | |||
| 33:33:1.0.1.6.47.3.26.6 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | C | Subpart C—How Will Safety Management Systems Be Certificated and Enforced? | § 96.350 Interim Document of Compliance certificate: what is it and when can it be used? | USCG | (a) An Interim Document of Compliance certificate may be issued to help set up a company's safety management system when— (1) A company is newly set up or in transition from an existing company into a new company; or (2) A new type of vessel is added to an existing safety management system and Document of Compliance certificate for a company. (b) A responsible person for a company operating a U.S. vessel(s) that meets the requirements of paragraph (a) of this section, may send a request to a recognized organization authorized to act on behalf of the U.S. to receive an Interim Document of Compliance certificate that is valid for a period up to 12 months. To be issued the Interim Document of Compliance certificate the vessel's company must— (1) Demonstrate to an auditor that the company has a safety management system that meets § 96.230 of this part; and (2) Provide a plan for full implementation of a safety management system within the period that the Interim Document of Compliance certificate is valid. | ||||
| 33:33:1.0.1.6.47.3.26.7 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | C | Subpart C—How Will Safety Management Systems Be Certificated and Enforced? | § 96.360 Interim Safety Management Certificate: what is it and when can it be used? | USCG | (a) A responsible person may apply for an Interim Safety Management Certificate when— (1) A responsible person takes delivery of a new U.S. vessel; or (2) Takes responsibility for the management of a U.S. vessel which is new to the responsible person or their company. (b) An Interim Safety Management Certificate is valid for 6 months. It may be issued to a U.S. vessel which meets the conditions of paragraph (a) of this section, when— (1) The company's valid Document of Compliance certificate or Interim Document of Compliance certificate applies to that vessel type; (2) The company's safety management system for the vessel includes the key elements of a safety management system, set out in § 96.220, applicable to this new type of vessel; (3) The company's safety management system has been assessed during the safety management audit to issue the Document of Compliance certificate or demonstrated for the issuance of the Interim Document of Compliance certificate; (4) The Master and senior officers of the vessel are familiar with the safety management system and the planned set up arrangements; (5) Written documented instructions have been extracted from the safety management system and given to the vessel prior to sailing; (6) The company plans an internal audit of the vessel within three months; and (7) The relevant information from the safety management system is written in English, and in any other language understood by the vessel's personnel. | ||||
| 33:33:1.0.1.6.47.3.26.8 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | C | Subpart C—How Will Safety Management Systems Be Certificated and Enforced? | § 96.370 What are the requirements for vessels of countries not party to Chapter IX of SOLAS? | USCG | (a) Each foreign vessel which carries more than 12 passengers, or is a tanker, bulk freight vessel, freight vessel, or self-propelled mobile offshore drilling unit of 500 gross tons or more, operated in U.S. waters, under the authority of a country not a party to Chapter IX of SOLAS must— (1) Have on board valid documentation showing that the vessel's company has a safety management system which was audited and assessed, consistent with the International Safety Management Code of IMO Resolution A.741(18); (2) Have on board valid documentation from a vessel's Flag Administration showing that the vessel's safety management system was audited and assessed to be consistent with the International Safety Management Code of IMO Resolution A.741(18); or (3) Show that evidence of compliance was issued by either a government that is party to SOLAS or an organization recognized to act on behalf of the vessel's Flag Administration. (b) Evidence of compliance must contain all of the information in, and have substantially the same format as a— (1) Document of Compliance certificate; and (2) Safety Management Certificate. (c) Failure to comply with this section will subject the vessel to the compliance and enforcement procedures of § 96.380 of this part. | ||||
| 33:33:1.0.1.6.47.3.26.9 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | C | Subpart C—How Will Safety Management Systems Be Certificated and Enforced? | § 96.380 How will the Coast Guard handle compliance and enforcement of these regulations? | USCG | (a) While operating in waters under the jurisdiction of the United States, the Coast Guard may board a vessel to determine that— (1) Valid copies of the company's Document of Compliance certificate and Safety Management Certificate are on board, or evidence of the same for vessels from countries not party to Chapter IX of SOLAS; and (2) The vessel's crew or shore-based personnel are following the procedures and policies of the safety management system while operating the vessel or transferring cargoes. (b) A foreign vessel that does not comply with these regulations, or one on which the vessel's condition or use of its safety management system do not substantially agree with the particulars of the Document of Compliance certificate, Safety Management Certificate or other required evidence of compliance, may be detained by order of the COTP or OCMI. This may occur at the port or terminal where the violation is found until, in the opinion of the detaining authority, the vessel can go to sea without presenting an unreasonable threat of harm to the port, the marine environment, the vessel or its crew. The detention order may allow the vessel to go to another area of the port, if needed, rather than stay at the place where the violation was found. (c) If any vessel that must comply with this part or with the ISM Code does not have a Safety Management Certificate and a copy of its company's Document of Compliance certificate on board, a vessel owner, charterer, managing operator, agent, Master, or any other individual in charge of the vessel that is subject to this part, may be liable for a civil penalty under 46 U.S.C. 3318. For foreign vessels, the Coast Guard may request the Secretary of the Treasury to withhold or revoke the clearance required by 46 U.S.C. App. 91. The Coast Guard may ask the Secretary to permit the vessel's departure after the bond or other surety is filed. | ||||
| 33:33:1.0.1.6.47.4.26.1 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Authorization of Recognized Organizations To Act on Behalf of the U.S. | § 96.400 Purpose. | USCG | (a) This subpart establishes criteria and procedures for organizations recognized under 46 CFR part 8, subparts A and B, to be authorized by the Coast Guard to act on behalf of the U.S. The authorization is necessary in order for a recognized organization to perform safety management audits and certification functions delegated by the Coast Guard as described in this part. (b) To receive an up-to-date list of recognized organizations authorized to act under this subpart, send a self-addressed, stamped envelope and written request to the Commandant (CG-ENG), Attn: Office of Design and Engineering Standards, U.S. Coast Guard Stop 7509, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7509. | ||||
| 33:33:1.0.1.6.47.4.26.10 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Authorization of Recognized Organizations To Act on Behalf of the U.S. | § 96.490 What further obligations exist for an organization if the Coast Guard terminates its authorization? | USCG | The written agreement by which an organization receives authorization from the Coast Guard places it under certain obligations if the Coast Guard revokes that authorization. The organization agrees to send written notice of its termination to all responsible persons, companies and vessels that have received certificates from the organization. In that notice, the organization must include— (a) A written statement explaining why the organization's authorization was terminated by the Coast Guard; (b) An explanation of the status of issued certificates; (c) A current list of organizations authorized by the Coast Guard to conduct safety management audits; and (d) A statement of what the companies and vessels must do to have their safety management systems transferred to another organization authorized to act on behalf of the U.S. | ||||
| 33:33:1.0.1.6.47.4.26.11 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Authorization of Recognized Organizations To Act on Behalf of the U.S. | § 96.495 How can I appeal a decision made by an authorized organization? | USCG | [CGD 95-073, 62 FR 67506, Dec. 24, 1997, as amended by USCG-2011-0257, 76 FR 31836, June 2, 2011] | (a) A responsible person may appeal a decision made by an authorized organization by mailing or delivering to the organization a written request for reconsideration. Within 30 days of receiving your request, the authorized organization must rule on it and send you a written response. They must also send a copy of their response to the Commandant (CG-CVC), Attn: Office of Commercial Vessel Compliance, U.S. Coast Guard Stop 7501, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7501. (b) If you are not satisfied with the organization's decision, you may appeal directly to Commandant (CG-CVC). You must make your appeal in writing, including any documentation and evidence you wish to be considered. You may ask Commandant (CG-CVC) to stay the effect of the appealed decision while it is under review. (c) The Commandant (CG-CVC) will make a decision on your appeal and send you a response in writing. That decision will be the final Coast Guard action on your request. | |||
| 33:33:1.0.1.6.47.4.26.2 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Authorization of Recognized Organizations To Act on Behalf of the U.S. | § 96.410 Who does this regulation apply to? | USCG | This subpart applies to all organizations recognized by the U.S. under 46 CFR part 8, subpart A and B, who wish to seek authorization to conduct safety management audits and issue relevant international safety certificates under the provisions of the ISM Code and voluntary certificates on behalf of the U.S. | ||||
| 33:33:1.0.1.6.47.4.26.3 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Authorization of Recognized Organizations To Act on Behalf of the U.S. | § 96.420 What authority may an organization ask for under this regulation? | USCG | (a) An organization may request authorization to conduct safety management audits and to issue the following certificates: (1) Safety Management Certificate; (2) Document of Compliance certificate; (3) Interim Safety Management Certificate; and (4) Interim Document of Compliance certificate. (b) [Reserved] | ||||
| 33:33:1.0.1.6.47.4.26.4 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Authorization of Recognized Organizations To Act on Behalf of the U.S. | § 96.430 How does an organization submit a request to be authorized? | USCG | (a) A recognized organization must send a written request for authorization to the Commandant (CG-ENG), Attn: Office of Design and Engineering Standards, U.S. Coast Guard Stop 7509, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7509. The request must include the following: (1) A statement describing what type of authorization the organization seeks; (2) Documents showing that— (i) The organization has an internal quality system with written policies, procedures and processes that meet the requirements in § 96.440 of this part for safety management auditing and certification; or (ii) The organization has an internal quality system based on ANSI/ASQC C9001 for safety management auditing and certification; or (iii) The organization has an equivalent internal quality standard system recognized by the Coast Guard to complete safety management audits and certification. (3) A list of the organization's exclusive auditors qualified to complete safety management audits and their operational area; and (4) A written statement that the procedures and records of the recognized organization regarding its actions involving safety management system audits and certification are available for review annually and at any time deemed necessary by the Coast Guard. (b) If the organization is a foreign classification society that has been recognized under 46 CFR part 8, subparts A and B, and wishes to apply for authorization under this part, it must demonstrate the reciprocity required by 46 U.S.C. 3316 for ISM Code certification. The organization must provide, with its request for authorization an affidavit from the government of the country in which the classification society is headquartered. This affidavit must provide a list of authorized delegations by the flag state of the administration of the foreign classification society's country to the American Bureau of Shipping, and indicate any conditions related to the delegated authority. If this affidavit is not received with a request for authorization from a f… | ||||
| 33:33:1.0.1.6.47.4.26.5 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Authorization of Recognized Organizations To Act on Behalf of the U.S. | § 96.440 How will the Coast Guard decide whether to approve an organization's request to be authorized? | USCG | (a) First, the Coast Guard will evaluate the organization's request for authorization and supporting written materials, looking for evidence of the following— (1) The organization's clear assignment of management duties; (2) Ethical standards for managers and auditors; (3) Procedures for auditor training, qualification, certification, and requalification that are consistent with recognized industry standards; (4) Procedures for auditing safety management systems that are consistent with recognized industry standards and IMO Resolution A.788(19); (5) Acceptable standards for internal auditing and management review; (6) Record-keeping standards for safety management auditing and certification; (7) Methods for reporting non-conformities and recording completion of remedial actions; (8) Methods for certifying safety management systems; (9) Methods for periodic and intermediate audits of safety management systems; (10) Methods for renewal audits of safety management systems; (11) Methods for handling appeals; and (12) Overall procedures consistent with IMO Resolution A.739(18), “Guidelines for the Authorization of Organizations Acting on Behalf of the Administration.” (b) After a favorable evaluation of the organization's written request, the Coast Guard will arrange to visit the organization's corporate offices and port offices for an on-site evaluation of operations. (c) When a request is approved, the recognized organization and the Coast Guard will enter into a written agreement. This agreement will define the scope, terms, conditions and requirements of the authorization. Conditions of this agreement are found in § 96.460 of this part. | ||||
| 33:33:1.0.1.6.47.4.26.6 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Authorization of Recognized Organizations To Act on Behalf of the U.S. | § 96.450 What happens if the Coast Guard disapproves an organization's request to be authorized? | USCG | (a) The Coast Guard will write to the organization explaining why it did not meet the criteria for authorization. (b) The organization may then correct the deficiencies and reapply. | ||||
| 33:33:1.0.1.6.47.4.26.7 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Authorization of Recognized Organizations To Act on Behalf of the U.S. | § 96.460 How will I know what the Coast Guard requires of my organization if my organization receives authorization? | USCG | (a) Your organization will enter into a written agreement with the Coast Guard. This written agreement will specify— (1) How long the authorization is valid; (2) Which duties and responsibilities the organization may perform, and which certificates it may issue on behalf of the U.S.; (3) Reports and information the organization must send to the Commandant (CG-CVC); (4) Actions the organization must take to renew the agreement when it expires; and (5) Actions the organization must take if the Coast Guard should revoke its authorization or recognition under 46 CFR part 8. (b) [Reserved] | ||||
| 33:33:1.0.1.6.47.4.26.8 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Authorization of Recognized Organizations To Act on Behalf of the U.S. | § 96.470 How does the Coast Guard terminate an organization's authorization? | USCG | At least every 12 months, the Coast Guard evaluates organizations authorized under this subpart. If an organization fails to maintain acceptable standards, the Coast Guard may terminate that organization's authorization, remove the organization from the Commandant's list of recognized organizations, and further evaluate the organization's recognition under 46 CFR part 8. | ||||
| 33:33:1.0.1.6.47.4.26.9 | 33 | Navigation and Navigable Waters | I | F | 96 | PART 96—RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Authorization of Recognized Organizations To Act on Behalf of the U.S. | § 96.480 What is the status of a certificate if the issuing organization has its authority terminated? | USCG | Any certificate issued by an organization authorized by the Coast Guard whose authorization is later terminated remains valid until— (a) Its original expiration date, (b) The date of the next periodic audit required to maintain the certificate's validity, or (c) Whichever of paragraphs (a) or (b) occurs first. | ||||
| 40:40:22.0.1.1.12.1.1.1 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | A | Subpart A—NO | § 96.1 Purpose. | EPA | This part establishes general provisions and the applicability, permitting, allowance, excess emissions, monitoring, and opt-in provisions for the NO X Budget Trading Program for State implementation plans as a means of mitigating the interstate transport of ozone and nitrogen oxides, an ozone precursor. The owner or operator of a unit, or any other person, shall comply with requirements of this part as a matter of federal law only to the extent a State that has jurisdiction over the unit incorporates by reference provisions of this part, or otherwise adopts such requirements of this part, and requires compliance, the State submits to the Administrator a State implementation plan including such adoption and such compliance requirement, and the Administrator approves the portion of the State implementation plan including such adoption and such compliance requirement. To the extent a State adopts requirements of this part, including at a minimum the requirements of subpart A (except for § 96.4(b)), subparts B through D, subpart F (except for § 96.55(c)), and subparts G and H of this part, the State authorizes the Administrator to assist the State in implementing the NO X Budget Trading Program by carrying out the functions set forth for the Administrator in such requirements. | ||||
| 40:40:22.0.1.1.12.1.1.2 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | A | Subpart A—NO | § 96.2 Definitions. | EPA | The terms used in this part shall have the meanings set forth in this section as follows: Account certificate of representation means the completed and signed submission required by subpart B of this part for certifying the designation of a NO X authorized account representative for a NO X Budget source or a group of identified NO X Budget sources who is authorized to represent the owners and operators of such source or sources and of the NO X Budget units at such source or sources with regard to matters under the NO X Budget Trading Program. Account number means the identification number given by the Administrator to each NO X Allowance Tracking System account. Acid Rain emissions limitation means, as defined in § 72.2 of this chapter, a limitation on emissions of sulfur dioxide or nitrogen oxides under the Acid Rain Program under title IV of the CAA. Administrator means the Administrator of the United States Environmental Protection Agency or the Administrator's duly authorized representative. Allocate or allocation means the determination by the permitting authority or the Administrator of the number of NO X allowances to be initially credited to a NO X Budget unit or an allocation set-aside. Automated data acquisition and handling system or DAHS means that component of the CEMS, or other emissions monitoring system approved for use under subpart H of this part, designed to interpret and convert individual output signals from pollutant concentration monitors, flow monitors, diluent gas monitors, and other component parts of the monitoring system to produce a continuous record of the measured parameters in the measurement units required by subpart H of this part. Boiler means an enclosed fossil or other fuel-fired combustion device used to produce heat and to transfer heat to recirculating water, steam, or other medium. CAA means the CAA, 42 U.S.C. 7401, et seq., as amended by Pub. L. No. 101-549 (November 15, 1990). Combined cycle system means a system comprised of one or more c… | ||||
| 40:40:22.0.1.1.12.1.1.3 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | A | Subpart A—NO | § 96.3 Measurements, abbreviations, and acronyms. | EPA | Measurements, abbreviations, and acronyms used in this part are defined as follows: Btu—British thermal unit. hr—hour. Kwh—kilowatt hour. lb—pounds. mmBtu—million Btu. MWe—megawatt electrical. ton—2000 pounds. CO 2 —carbon dioxide. NO X —nitrogen oxides. O 2 —oxygen. Btu—British thermal unit. hr—hour. Kwh—kilowatt hour. lb—pounds. mmBtu—million Btu. MWe—megawatt electrical. ton—2000 pounds. CO 2 —carbon dioxide. NO X —nitrogen oxides. O 2 —oxygen. | ||||
| 40:40:22.0.1.1.12.1.1.4 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | A | Subpart A—NO | § 96.4 Applicability. | EPA | (a) The following units in a State shall be NO X Budget units, and any source that includes one or more such units shall be a NO X Budget source, subject to the requirements of this part: (1) Any unit that, any time on or after January 1, 1995, serves a generator with a nameplate capacity greater than 25 MWe and sells any amount of electricity; or (2) Any unit that is not a unit under paragraph (a) of this section and that has a maximum design heat input greater than 250 mmBtu/hr. (b) Notwithstanding paragraph (a) of this section, a unit under paragraph (a) of this section shall be subject only to the requirements of this paragraph (b) if the unit has a federally enforceable permit that meets the requirements of paragraph (b)(1) of this section and restricts the unit to burning only natural gas or fuel oil during a control period in 2003 or later and each control period thereafter and restricts the unit's operating hours during each such control period to the number of hours (determined in accordance with paragraph (b)(1)(ii) and (iii) of this section) that limits the unit's potential NO X mass emissions for the control period to 25 tons or less. Notwithstanding paragraph (a) of this section, starting with the effective date of such federally enforceable permit, the unit shall not be a NO X Budget unit. (1) For each control period under paragraph (b) of this section, the federally enforceable permit must: (i) Restrict the unit to burning only natural gas or fuel oil. (ii) Restrict the unit's operating hours to the number calculated by dividing 25 tons of potential NO X mass emissions by the unit's maximum potential hourly NO X mass emissions. (iii) Require that the unit's potential NO X mass emissions shall be calculated as follows: (A) Select the default NO X emission rate in Table 2 of § 75.19 of this chapter that would otherwise be applicable assuming that the unit burns only the type of fuel (i.e., only natural gas or only fuel oil) that has the highest default NO X emission factor of any typ… | ||||
| 40:40:22.0.1.1.12.1.1.5 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | A | Subpart A—NO | § 96.5 Retired unit exemption. | EPA | (a) This section applies to any NO X Budget unit, other than a NO X Budget opt-in source, that is permanently retired. (b)(1) Any NO X Budget unit, other than a NO X Budget opt-in source, that is permanently retired shall be exempt from the NO X Budget Trading Program, except for the provisions of this section, §§ 96.2, 96.3, 96.4, 96.7 and subparts E, F, and G of this part. (2) The exemption under paragraph (b)(1) of this section shall become effective the day on which the unit is permanently retired. Within 30 days of permanent retirement, the NO X authorized account representative (authorized in accordance with subpart B of this part) shall submit a statement to the permitting authority otherwise responsible for administering any NO X Budget permit for the unit. A copy of the statement shall be submitted to the Administrator. The statement shall state (in a format prescribed by the permitting authority) that the unit is permanently retired and will comply with the requirements of paragraph (c) of this section. (3) After receipt of the notice under paragraph (b)(2) of this section, the permitting authority will amend any permit covering the source at which the unit is located to add the provisions and requirements of the exemption under paragraphs (b)(1) and (c) of this section. (c) Special provisions. (1) A unit exempt under this section shall not emit any nitrogen oxides, starting on the date that the exemption takes effect. The owners and operators of the unit will be allocated allowances in accordance with subpart E of this part. (2)(i) A unit exempt under this section and located at a source that is required, or but for this exemption would be required, to have a title V operating permit shall not resume operation unless the NO X authorized account representative of the source submits a complete NO X Budget permit application under § 96.22 for the unit not less than 18 months (or such lesser time provided under the permitting authority's title V operating permits regulations for final actio… | ||||
| 40:40:22.0.1.1.12.1.1.6 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | A | Subpart A—NO | § 96.6 Standard requirements. | EPA | (a) Permit Requirements. (1) The NO X authorized account representative of each NO X Budget source required to have a federally enforceable permit and each NO X Budget unit required to have a federally enforceable permit at the source shall: (i) Submit to the permitting authority a complete NO X Budget permit application under § 96.22 in accordance with the deadlines specified in § 96.21(b) and (c); (ii) Submit in a timely manner any supplemental information that the permitting authority determines is necessary in order to review a NO X Budget permit application and issue or deny a NO X Budget permit. (2) The owners and operators of each NO X Budget source required to have a federally enforceable permit and each NO X Budget unit required to have a federally enforceable permit at the source shall have a NO X Budget permit issued by the permitting authority and operate the unit in compliance with such NO X Budget permit. (3) The owners and operators of a NO X Budget source that is not otherwise required to have a federally enforceable permit are not required to submit a NO X Budget permit application, and to have a NO X Budget permit, under subpart C of this part for such NO X Budget source. (b) Monitoring requirements. (1) The owners and operators and, to the extent applicable, the NO X authorized account representative of each NO X Budget source and each NO X Budget unit at the source shall comply with the monitoring requirements of subpart H of this part. (2) The emissions measurements recorded and reported in accordance with subpart H of this part shall be used to determine compliance by the unit with the NO X Budget emissions limitation under paragraph (c) of this section. (c) Nitrogen oxides requirements. (1) The owners and operators of each NO X Budget source and each NO X Budget unit at the source shall hold NO X allowances available for compliance deductions under § 96.54, as of the NO X allowance transfer deadline, in the unit's compliance account and the source's overdr… | ||||
| 40:40:22.0.1.1.12.1.1.7 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | A | Subpart A—NO | § 96.7 Computation of time. | EPA | (a) Unless otherwise stated, any time period scheduled, under the NO X Budget Trading Program, to begin on the occurrence of an act or event shall begin on the day the act or event occurs. (b) Unless otherwise stated, any time period scheduled, under the NO X Budget Trading Program, to begin before the occurrence of an act or event shall be computed so that the period ends the day before the act or event occurs. (c) Unless otherwise stated, if the final day of any time period, under the NO X Budget Trading Program, falls on a weekend or a State or Federal holiday, the time period shall be extended to the next business day. | ||||
| 40:40:22.0.1.1.12.12.1.1 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AA | Subpart AA—CAIR NO | § 96.101 Purpose. | EPA | This subpart and subparts BB through II establish the model rule comprising general provisions and the designated representative, permitting, allowance, monitoring, and opt-in provisions for the State Clean Air Interstate Rule (CAIR) NO X Annual Trading Program, under section 110 of the Clean Air Act and § 51.123 of this chapter, as a means of mitigating interstate transport of fine particulates and nitrogen oxides. The owner or operator of a unit or a source shall comply with the requirements of this subpart and subparts BB through II as a matter of federal law only if the State with jurisdiction over the unit and the source incorporates by reference such subparts or otherwise adopts the requirements of such subparts in accordance with § 51.123(o)(1) or (2) of this chapter, the State submits to the Administrator one or more revisions of the State implementation plan that include such adoption, and the Administrator approves such revisions. If the State adopts the requirements of such subparts in accordance with § 51.123(o)(1) or (2) of this chapter, then the State authorizes the Administrator to assist the State in implementing the CAIR NO X Annual Trading Program by carrying out the functions set forth for the Administrator in such subparts. | ||||
| 40:40:22.0.1.1.12.12.1.2 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AA | Subpart AA—CAIR NO | § 96.102 Definitions. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25380, Apr. 28, 2006; 71 FR 74794, Dec. 13, 2006; 72 FR 59205, Oct. 19, 2007] | The terms used in this subpart and subparts BB through II shall have the meanings set forth in this section as follows: Account number means the identification number given by the Administrator to each CAIR NO X Allowance Tracking System account. Acid Rain emissions limitation means a limitation on emissions of sulfur dioxide or nitrogen oxides under the Acid Rain Program. Acid Rain Program means a multi-state sulfur dioxide and nitrogen oxides air pollution control and emission reduction program established by the Administrator under title IV of the CAA and parts 72 through 78 of this chapter. Administrator means the Administrator of the United States Environmental Protection Agency or the Administrator's duly authorized representative. Allocate or allocation means, with regard to CAIR NO X allowances, the determination by a permitting authority or the Administrator of the amount of such CAIR NO X allowances to be initially credited to a CAIR NO X unit, a new unit set-aside, or other entity. Allowance transfer deadline means, for a control period, midnight of March 1 (if it is a business day), or midnight of the first business day thereafter (if March 1 is not a business day), immediately following the control period and is the deadline by which a CAIR NO X allowance transfer must be submitted for recordation in a CAIR NO X source's compliance account in order to be used to meet the source's CAIR NO X emissions limitation for such control period in accordance with § 96.154. Alternate CAIR designated representative means, for a CAIR NO X source and each CAIR NO X unit at the source, the natural person who is authorized by the owners and operators of the source and all such units at the source, in accordance with subparts BB and II of this part, to act on behalf of the CAIR designated representative in matters pertaining to the CAIR NO X Annual Trading Program. If the CAIR NO X source is also a CAIR SO 2 source, then this natural person shall be the same person as the alternate CAIR des… | |||
| 40:40:22.0.1.1.12.12.1.3 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AA | Subpart AA—CAIR NO | § 96.103 Measurements, abbreviations, and acronyms. | EPA | [71 FR 25381, Apr. 28, 2006] | Measurements, abbreviations, and acronyms used in this subpart and subparts BB through II are defined as follows: Btu—British thermal unit. CO 2 —carbon dioxide H 2 O—water Hg—mercury hr—hour kW—kilowatt electrical kWh—kilowatt hour lb—pound mmBtu—million Btu MWe—megawatt electrical MWh—megawatt hour NO X —nitrogen oxides O2—oxygen ppm—parts per million scfh—standard cubic feet per hour SO 2 —sulfur dioxide yr—year | |||
| 40:40:22.0.1.1.12.12.1.4 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AA | Subpart AA—CAIR NO | § 96.104 Applicability. | EPA | [71 FR 25382, Apr. 28, 2006] | (a) Except as provided in paragraph (b) of this section: (1) The following units in a State shall be CAIR NO X units, and any source that includes one or more such units shall be a CAIR NO X source, subject to the requirements of this subpart and subparts BB through HH of this part: any stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine serving at any time, since the later of November 15, 1990 or the start-up of the unit's combustion chamber, a generator with nameplate capacity of more than 25 MWe producing electricity for sale. (2) If a stationary boiler or stationary combustion turbine that, under paragraph (a)(1) of this section, is not a CAIR NO X unit begins to combust fossil fuel or to serve a generator with nameplate capacity of more than 25 MWe producing electricity for sale, the unit shall become a CAIR NO X unit as provided in paragraph (a)(1) of this section on the first date on which it both combusts fossil fuel and serves such generator. (b) The units in a State that meet the requirements set forth in paragraph (b)(1)(i), (b)(2)(i), or (b)(2)(ii) of this section shall not be CAIR NO X units: (1)(i) Any unit that is a CAIR NO X unit under paragraph (a)(1) or (2) of this section: (A) Qualifying as a cogeneration unit during the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration unit; and (B) Not serving at any time, since the later of November 15, 1990 or the start-up of the unit's combustion chamber, a generator with nameplate capacity of more than 25 MWe supplying in any calendar year more than one-third of the unit's potential electric output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale. (ii) If a unit qualifies as a cogeneration unit during the 12-month period starting on the date the unit first produces electricity and meets the requirements of paragraphs (b)(1)(i) of this section for at least one calendar year, but subsequently no… | |||
| 40:40:22.0.1.1.12.12.1.5 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AA | Subpart AA—CAIR NO | § 96.105 Retired unit exemption. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006; 71 FR 74794, Dec. 13, 2006] | (a)(1) Any CAIR NO X unit that is permanently retired and is not a CAIR NO X opt-in unit under subpart II of this part shall be exempt from the CAIR NO X Annual Trading Program, except for the provisions of this section, § 96.102, § 96.103, § 96.104, § 96.106(c)(4) through (7), § 96.107, § 96.108, and subparts BB and EE through GG. (2) The exemption under paragraph (a)(1) of this section shall become effective the day on which the CAIR NO X unit is permanently retired. Within 30 days of the unit's permanent retirement, the CAIR designated representative shall submit a statement to the permitting authority otherwise responsible for administering any CAIR permit for the unit and shall submit a copy of the statement to the Administrator. The statement shall state, in a format prescribed by the permitting authority, that the unit was permanently retired on a specific date and will comply with the requirements of paragraph (b) of this section. (3) After receipt of the statement under paragraph (a)(2) of this section, the permitting authority will amend any permit under subpart CC of this part covering the source at which the unit is located to add the provisions and requirements of the exemption under paragraphs (a)(1) and (b) of this section. (b) Special provisions. (1) A unit exempt under paragraph (a) of this section shall not emit any nitrogen oxides, starting on the date that the exemption takes effect. (2) The permitting authority will allocate CAIR NO X allowances under subpart EE of this part to a unit exempt under paragraph (a) of this section. (3) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under paragraph (a) of this section shall retain, at the source that includes the unit, records demonstrating that the unit is permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period, in writing by the permitting authority or the Administrator. The owners and operators bear the bu… | |||
| 40:40:22.0.1.1.12.12.1.6 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AA | Subpart AA—CAIR NO | § 96.106 Standard requirements. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006] | (a) Permit requirements. (1) The CAIR designated representative of each CAIR NO X source required to have a title V operating permit and each CAIR NO X unit required to have a title V operating permit at the source shall: (i) Submit to the permitting authority a complete CAIR permit application under § 96.122 in accordance with the deadlines specified in § 96.121; and (ii) Submit in a timely manner any supplemental information that the permitting authority determines is necessary in order to review a CAIR permit application and issue or deny a CAIR permit. (2) The owners and operators of each CAIR NO X source required to have a title V operating permit and each CAIR NO X unit required to have a title V operating permit at the source shall have a CAIR permit issued by the permitting authority under subpart CC of this part for the source and operate the source and the unit in compliance with such CAIR permit. (3) Except as provided in subpart II of this part, the owners and operators of a CAIR NO X source that is not otherwise required to have a title V operating permit and each CAIR NO X unit that is not otherwise required to have a title V operating permit are not required to submit a CAIR permit application, and to have a CAIR permit, under subpart CC of this part for such CAIR NO X source and such CAIR NO X unit. (b) Monitoring, reporting, and recordkeeping requirements. (1) The owners and operators, and the CAIR designated representative, of each CAIR NO X source and each CAIR NO X unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of subpart HH of this part. (2) The emissions measurements recorded and reported in accordance with subpart HH of this part shall be used to determine compliance by each CAIR NO X source with the CAIR NO X emissions limitation under paragraph (c) of this section. (c) Nitrogen oxides emission requirements. (1) As of the allowance transfer deadline for a control period, the owners and operators of each CAIR NO X sou… | |||
| 40:40:22.0.1.1.12.12.1.7 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AA | Subpart AA—CAIR NO | § 96.107 Computation of time. | EPA | (a) Unless otherwise stated, any time period scheduled, under the CAIR NO X Annual Trading Program, to begin on the occurrence of an act or event shall begin on the day the act or event occurs. (b) Unless otherwise stated, any time period scheduled, under the CAIR NO X Annual Trading Program, to begin before the occurrence of an act or event shall be computed so that the period ends the day before the act or event occurs. (c) Unless otherwise stated, if the final day of any time period, under the CAIR NO X Annual Trading Program, falls on a weekend or a State or Federal holiday, the time period shall be extended to the next business day. | ||||
| 40:40:22.0.1.1.12.12.1.8 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AA | Subpart AA—CAIR NO | § 96.108 Appeal procedures. | EPA | The appeal procedures for decisions of the Administrator under the CAIR NO X Annual Trading Program are set forth in part 78 of this chapter. | ||||
| 40:40:22.0.1.1.12.13.1.1 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | BB | Subpart BB—CAIR Designated Representative for CAIR NO | § 96.110 Authorization and responsibilities of CAIR designated representative. | EPA | (a) Except as provided under § 96.111, each CAIR NO X source, including all CAIR NO X units at the source, shall have one and only one CAIR designated representative, with regard to all matters under the CAIR NO X Annual Trading Program concerning the source or any CAIR NO X unit at the source. (b) The CAIR designated representative of the CAIR NO X source shall be selected by an agreement binding on the owners and operators of the source and all CAIR NO X units at the source and shall act in accordance with the certification statement in § 96.113(a)(4)(iv). (c) Upon receipt by the Administrator of a complete certificate of representation under § 96.113, the CAIR designated representative of the source shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each owner and operator of the CAIR NO X source represented and each CAIR NO X unit at the source in all matters pertaining to the CAIR NO X Annual Trading Program, notwithstanding any agreement between the CAIR designated representative and such owners and operators. The owners and operators shall be bound by any decision or order issued to the CAIR designated representative by the permitting authority, the Administrator, or a court regarding the source or unit. (d) No CAIR permit will be issued, no emissions data reports will be accepted, and no CAIR NO X Allowance Tracking System account will be established for a CAIR NO X unit at a source, until the Administrator has received a complete certificate of representation under § 96.113 for a CAIR designated representative of the source and the CAIR NO X units at the source. (e)(1) Each submission under the CAIR NO X Annual Trading Program shall be submitted, signed, and certified by the CAIR designated representative for each CAIR NO X source on behalf of which the submission is made. Each such submission shall include the following certification statement by the CAIR designated representative: “I am authorized to make this submission on behalf of t… | ||||
| 40:40:22.0.1.1.12.13.1.2 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | BB | Subpart BB—CAIR Designated Representative for CAIR NO | § 96.111 Alternate CAIR designated representative. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006] | (a) A certificate of representation under § 96.113 may designate one and only one alternate CAIR designated representative, who may act on behalf of the CAIR designated representative. The agreement by which the alternate CAIR designated representative is selected shall include a procedure for authorizing the alternate CAIR designated representative to act in lieu of the CAIR designated representative. (b) Upon receipt by the Administrator of a complete certificate of representation under § 96.113, any representation, action, inaction, or submission by the alternate CAIR designated representative shall be deemed to be a representation, action, inaction, or submission by the CAIR designated representative. (c) Except in this section and §§ 96.102, 96.110(a) and (d), 96.112, 96.113, 96.115, 96.151, and 96.182, whenever the term “CAIR designated representative” is used in subparts AA through II of this part, the term shall be construed to include the CAIR designated representative or any alternate CAIR designated representative. | |||
| 40:40:22.0.1.1.12.13.1.3 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | BB | Subpart BB—CAIR Designated Representative for CAIR NO | § 96.112 Changing CAIR designated representative and alternate CAIR designated representative; changes in owners and operators. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006] | (a) Changing CAIR designated representative. The CAIR designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under § 96.113. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous CAIR designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new CAIR designated representative and the owners and operators of the CAIR NO X source and the CAIR NO X units at the source. (b) Changing alternate CAIR designated representative. The alternate CAIR designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under § 96.113. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate CAIR designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new alternate CAIR designated representative and the owners and operators of the CAIR NO X source and the CAIR NO X units at the source. (c) Changes in owners and operators. (1) In the event an owner or operator of a CAIR NO X source or a CAIR NO X unit is not included in the list of owners and operators in the certificate of representation under § 96.113, such owner or operator shall be deemed to be subject to and bound by the certificate of representation, the representations, actions, inactions, and submissions of the CAIR designated representative and any alternate CAIR designated representative of the source or unit, and the decisions and orders of the permitting authority, the Administrator, or a court, as if the owner or operator were included in such list. (2) Within 30 days following any change in the owners and operators of a CAIR NO X source or a CAIR NO X unit, including the addition of a new ow… | |||
| 40:40:22.0.1.1.12.13.1.4 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | BB | Subpart BB—CAIR Designated Representative for CAIR NO | § 96.113 Certificate of representation. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006] | (a) A complete certificate of representation for a CAIR designated representative or an alternate CAIR designated representative shall include the following elements in a format prescribed by the Administrator: (1) Identification of the CAIR NO X source, and each CAIR NO X unit at the source, for which the certificate of representation is submitted, including identification and nameplate capacity of each generator served by each such unit. (2) The name, address, e-mail address (if any), telephone number, and facsimile transmission number (if any) of the CAIR designated representative and any alternate CAIR designated representative. (3) A list of the owners and operators of the CAIR NO X source and of each CAIR NO X unit at the source. (4) The following certification statements by the CAIR designated representative and any alternate CAIR designated representative— (i) “I certify that I was selected as the CAIR designated representative or alternate CAIR designated representative, as applicable, by an agreement binding on the owners and operators of the source and each CAIR NO X unit at the source.” (ii) “I certify that I have all the necessary authority to carry out my duties and responsibilities under the CAIR NO X Annual Trading Program on behalf of the owners and operators of the source and of each CAIR NO X unit at the source and that each such owner and operator shall be fully bound by my representations, actions, inactions, or submissions.” (iii) “I certify that the owners and operators of the source and of each CAIR NO X unit at the source shall be bound by any order issued to me by the Administrator, the permitting authority, or a court regarding the source or unit.” (iv) “Where there are multiple holders of a legal or equitable title to, or a leasehold interest in, a CAIR NO X unit, or where a utility or industrial customer purchases power from a CAIR NO X unit under a life-of-the-unit, firm power contractual arrangement, I certify that: I have given a written notice of my selection as … | |||
| 40:40:22.0.1.1.12.13.1.5 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | BB | Subpart BB—CAIR Designated Representative for CAIR NO | § 96.114 Objections concerning CAIR designated representative. | EPA | (a) Once a complete certificate of representation under § 96.113 has been submitted and received, the permitting authority and the Administrator will rely on the certificate of representation unless and until a superseding complete certificate of representation under § 96.113 is received by the Administrator. (b) Except as provided in § 96.112(a) or (b), no objection or other communication submitted to the permitting authority or the Administrator concerning the authorization, or any representation, action, inaction, or submission, of the CAIR designated representative shall affect any representation, action, inaction, or submission of the CAIR designated representative or the finality of any decision or order by the permitting authority or the Administrator under the CAIR NO X Annual Trading Program. (c) Neither the permitting authority nor the Administrator will adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of any CAIR designated representative, including private legal disputes concerning the proceeds of CAIR NO X allowance transfers. | ||||
| 40:40:22.0.1.1.12.13.1.6 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | BB | Subpart BB—CAIR Designated Representative for CAIR NO | § 96.115 Delegation by CAIR designated representative and alternate CAIR designated representative. | EPA | [71 FR 25382, Apr. 28, 2006, as amended at 71 FR 74794, Dec. 13, 2006] | (a) A CAIR designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this part. (b) An alternate CAIR designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this part. (c) In order to delegate authority to make an electronic submission to the Administrator in accordance with paragraph (a) or (b) of this section, the CAIR designated representative or alternate CAIR designated representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements: (1) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of such CAIR designated representative or alternate CAIR designated representative; (2) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to as an “agent”); (3) For each such natural person, a list of the type or types of electronic submissions under paragraph (a) or (b) of this section for which authority is delegated to him or her; and (4) The following certification statements by such CAIR designated representative or alternate CAIR designated representative: (i) “I agree that any electronic submission to the Administrator that is by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am a CAIR designated representative or alternate CAIR designated representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 96.115(d) shall be deemed to be an electronic submission by me.” (ii) “Until this notice of delegation is superseded by another notice of delegation under 40 CFR 96.115(d), I agree to maint… | |||
| 40:40:22.0.1.1.12.14.1.1 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | CC | Subpart CC—Permits | § 96.120 General CAIR NO | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006] | (a) For each CAIR NO X source required to have a title V operating permit or required, under subpart II of this part, to have a title V operating permit or other federally enforceable permit, such permit shall include a CAIR permit administered by the permitting authority for the title V operating permit or the federally enforceable permit as applicable. The CAIR portion of the title V permit or other federally enforceable permit as applicable shall be administered in accordance with the permitting authority's title V operating permits regulations promulgated under part 70 or 71 of this chapter or the permitting authority's regulations for other federally enforceable permits as applicable, except as provided otherwise by § 96.105, this subpart, and subpart II of this part. (b) Each CAIR permit shall contain, with regard to the CAIR NO X source and the CAIR NO X units at the source covered by the CAIR permit, all applicable CAIR NO X Annual Trading Program, CAIR NO X Ozone Season Trading Program, and CAIR SO 2 Trading Program requirements and shall be a complete and separable portion of the title V operating permit or other federally enforceable permit under paragraph (a) of this section. | |||
| 40:40:22.0.1.1.12.14.1.2 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | CC | Subpart CC—Permits | § 96.121 Submission of CAIR permit applications. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006] | (a) Duty to apply. The CAIR designated representative of any CAIR NO X source required to have a title V operating permit shall submit to the permitting authority a complete CAIR permit application under § 96.122 for the source covering each CAIR NO X unit at the source at least 18 months (or such lesser time provided by the permitting authority) before the later of January 1, 2009 or the date on which the CAIR NO X unit commences commercial operation, except as provided in § 96.183(a). (b) Duty to Reapply. For a CAIR NO X source required to have a title V operating permit, the CAIR designated representative shall submit a complete CAIR permit application under § 96.122 for the source covering each CAIR NO X unit at the source to renew the CAIR permit in accordance with the permitting authority's title V operating permits regulations addressing permit renewal, except as provided in § 96.183(b). | |||
| 40:40:22.0.1.1.12.14.1.3 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | CC | Subpart CC—Permits | § 96.122 Information requirements for CAIR permit applications. | EPA | A complete CAIR permit application shall include the following elements concerning the CAIR NO X source for which the application is submitted, in a format prescribed by the permitting authority: (a) Identification of the CAIR NO X source; (b) Identification of each CAIR NO X unit at the CAIR NO X source; and (c) The standard requirements under § 96.106. | ||||
| 40:40:22.0.1.1.12.14.1.4 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | CC | Subpart CC—Permits | § 96.123 CAIR permit contents and term. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006] | (a) Each CAIR permit will contain, in a format prescribed by the permitting authority, all elements required for a complete CAIR permit application under § 96.122. (b) Each CAIR permit is deemed to incorporate automatically the definitions of terms under § 96.102 and, upon recordation by the Administrator under subpart EE, FF, GG, or II of this part, every allocation, transfer, or deduction of a CAIR NO X allowance to or from the compliance account of the CAIR NO X source covered by the permit. (c) The term of the CAIR permit will be set by the permitting authority, as necessary to facilitate coordination of the renewal of the CAIR permit with issuance, revision, or renewal of the CAIR NO X source's title V operating permit or other federally enforceable permit as applicable. | |||
| 40:40:22.0.1.1.12.14.1.5 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | CC | Subpart CC—Permits | § 96.124 CAIR permit revisions. | EPA | Except as provided in § 96.123(b), the permitting authority will revise the CAIR permit, as necessary, in accordance with the permitting authority's title V operating permits regulations or the permitting authority's regulations for other federally enforceable permits as applicable addressing permit revisions. | ||||
| 40:40:22.0.1.1.12.16.1.1 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | EE | Subpart EE—CAIR NO | § 96.140 State trading budgets. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25302, Apr. 28, 2006] | The State trading budgets for annual allocations of CAIR NO X allowances for the control periods in 2009 through 2014 and in 2015 and thereafter are respectively as follows: | |||
| 40:40:22.0.1.1.12.16.1.2 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | EE | Subpart EE—CAIR NO | § 96.141 Timing requirements for CAIR NO | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006] | (a) By October 31, 2006, the permitting authority will submit to the Administrator the CAIR NO X allowance allocations, in a format prescribed by the Administrator and in accordance with § 96.142(a) and (b), for the control periods in 2009, 2010, 2011, 2012, 2013, and 2014. (b) By October 31, 2009 and October 31 of each year thereafter, the permitting authority will submit to the Administrator the CAIR NO X allowance allocations, in a format prescribed by the Administrator and in accordance with § 96.142(a) and (b), for the control period in the sixth year after the year of the applicable deadline for submission under this paragraph. (c) By October 31, 2009 and October 31 of each year thereafter, the permitting authority will submit to the Administrator the CAIR NO X allowance allocations, in a format prescribed by the Administrator and in accordance with § 96.142(a), (c), and (d), for the control period in the year of the applicable deadline for submission under this paragraph. | |||
| 40:40:22.0.1.1.12.16.1.3 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | EE | Subpart EE—CAIR NO | § 96.142 CAIR NO | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006] | (a)(1) The baseline heat input (in mmBtu) used with respect to CAIR NO X allowance allocations under paragraph (b) of this section for each CAIR NO X unit will be: (i) For units commencing operation before January 1, 2001 the average of the 3 highest amounts of the unit's adjusted control period heat input for 2000 through 2004, with the adjusted control period heat input for each year calculated as follows: (A) If the unit is coal-fired during the year, the unit's control period heat input for such year is multiplied by 100 percent; (B) If the unit is oil-fired during the year, the unit's control period heat input for such year is multiplied by 60 percent; and (C) If the unit is not subject to paragraph (a)(1)(i)(A) or (B) of this section, the unit's control period heat input for such year is multiplied by 40 percent. (ii) For units commencing operation on or after January 1, 2001 and operating each calendar year during a period of 5 or more consecutive calendar years, the average of the 3 highest amounts of the unit's total converted control period heat input over the first such 5 years. (2)(i) A unit's control period heat input, and a unit's status as coal-fired or oil-fired, for a calendar year under paragraph (a)(1)(i) of this section, and a unit's total tons of NO X emissions during a calendar year under paragraph (c)(3) of this section, will be determined in accordance with part 75 of this chapter, to the extent the unit was otherwise subject to the requirements of part 75 of this chapter for the year, or will be based on the best available data reported to the permitting authority for the unit, to the extent the unit was not otherwise subject to the requirements of part 75 of this chapter for the year. (ii) A unit's converted control period heat input for a calendar year specified under paragraph (a)(1)(ii) of this section equals: (A) Except as provided in paragraph (a)(2)(ii)(B) or (C) of this section, the control period gross electrical output of the generator or generators served by the unit… | |||
| 40:40:22.0.1.1.12.16.1.4 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | EE | Subpart EE—CAIR NO | § 96.143 Compliance supplement pool. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25302, 25383, Apr. 28, 2006; 71 FR 74794, Dec. 13, 2006] | (a) In addition to the CAIR NO X allowances allocated under § 96.142, the permitting authority may allocate for the control period in 2009 up to the following amount of CAIR NO X allowances to CAIR NO X units in the respective State: (b) For any CAIR NO X unit in the State that achieves NO X emission reductions in 2007 and 2008 that are not necessary to comply with any State or federal emissions limitation applicable during such years, the CAIR designated representative of the unit may request early reduction credits, and allocation of CAIR NO X allowances from the compliance supplement pool under paragraph (a) of this section for such early reduction credits, in accordance with the following: (1) The owners and operators of such CAIR NO X unit shall monitor and report the NO X emissions rate and the heat input of the unit in accordance with subpart HH of this part in each control period for which early reduction credit is requested. (2) The CAIR designated representative of such CAIR NO X unit shall submit to the permitting authority by May 1, 2009 a request, in a format specified by the permitting authority, for allocation of an amount of CAIR NO X allowances from the compliance supplement pool not exceeding the sum of the amounts (in tons) of the unit's NO X emission reductions in 2007 and 2008 that are not necessary to comply with any State or federal emissions limitation applicable during such years, determined in accordance with subpart HH of this part. (c) For any CAIR NO X unit in the State whose compliance with the CAIR NO X emissions limitation for the control period in 2009 would create an undue risk to the reliability of electricity supply during such control period, the CAIR designated representative of the unit may request the allocation of CAIR NO X allowances from the compliance supplement pool under paragraph (a) of this section, in accordance with the following: (1) The CAIR designated representative of such CAIR NO X unit shall submit to the permitting authority by May 1, 20… | |||
| 40:40:22.0.1.1.12.17.1.1 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | FF | Subpart FF—CAIR NO | § 96.150 [Reserved] | EPA | |||||
| 40:40:22.0.1.1.12.17.1.2 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | FF | Subpart FF—CAIR NO | § 96.151 Establishment of accounts. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006; 71 FR 74794, Dec. 13, 2006] | (a) Compliance accounts. Except as provided in § 96.184(e), upon receipt of a complete certificate of representation under § 96.113, the Administrator will establish a compliance account for the CAIR NO X source for which the certificate of representation was submitted unless the source already has a compliance account. (b) General accounts —(1) Application for general account. (i) Any person may apply to open a general account for the purpose of holding and transferring CAIR NO X allowances. An application for a general account may designate one and only one CAIR authorized account representative and one and only one alternate CAIR authorized account representative who may act on behalf of the CAIR authorized account representative. The agreement by which the alternate CAIR authorized account representative is selected shall include a procedure for authorizing the alternate CAIR authorized account representative to act in lieu of the CAIR authorized account representative. (ii) A complete application for a general account shall be submitted to the Administrator and shall include the following elements in a format prescribed by the Administrator: (A) Name, mailing address, e-mail address (if any), telephone number, and facsimile transmission number (if any) of the CAIR authorized account representative and any alternate CAIR authorized account representative; (B) Organization name and type of organization, if applicable; (C) A list of all persons subject to a binding agreement for the CAIR authorized account representative and any alternate CAIR authorized account representative to represent their ownership interest with respect to the CAIR NO X allowances held in the general account; (D) The following certification statement by the CAIR authorized account representative and any alternate CAIR authorized account representative: “I certify that I was selected as the CAIR authorized account representative or the alternate CAIR authorized account representative, as applicable, by an agreement that is b… | |||
| 40:40:22.0.1.1.12.17.1.3 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | FF | Subpart FF—CAIR NO | § 96.152 Responsibilities of CAIR authorized account representative. | EPA | Following the establishment of a CAIR NO X Allowance Tracking System account, all submissions to the Administrator pertaining to the account, including, but not limited to, submissions concerning the deduction or transfer of CAIR NO X allowances in the account, shall be made only by the CAIR authorized account representative for the account. | ||||
| 40:40:22.0.1.1.12.17.1.4 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | FF | Subpart FF—CAIR NO | § 96.153 Recordation of CAIR NO | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006] | (a) By September 30, 2007, the Administrator will record in the CAIR NO X source's compliance account the CAIR NO X allowances allocated for the CAIR NO X units at the source, as submitted by the permitting authority in accordance with § 96.141(a), for the control periods in 2009, 2010, 2011, 2012, 2013, and 2014. (b) By December 1, 2009, the Administrator will record in the CAIR NO X source's compliance account the CAIR NO X allowances allocated for the CAIR NO X units at the source, as submitted by the permitting authority in accordance with § 96.141(b), for the control period in 2015. (c) By December 1, 2009 and December 1 of each year thereafter, the Administrator will record in the CAIR NO X source's compliance account the CAIR NO X allowances allocated for the CAIR NO X units at the source, as submitted by the permitting authority in accordance with § 96.141(b), for the control period in the sixth year after the year of the applicable deadline for recordation under this paragraph. (d) By December 1, 2009 and December 1 of each year thereafter, the Administrator will record in the CAIR NO X source's compliance account the CAIR NO X allowances allocated for the CAIR NO X units at the source, as submitted by the permitting authority or determined by the Administrator in accordance with § 96.141(c), for the control period in the year of the applicable deadline for recordation under this paragraph. (e) Serial numbers for allocated CAIR NO X allowances. When recording the allocation of CAIR NO X allowances for a CAIR NO X unit in a compliance account, the Administrator will assign each CAIR NO X allowance a unique identification number that will include digits identifying the year of the control period for which the CAIR NO X allowance is allocated. | |||
| 40:40:22.0.1.1.12.17.1.5 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | FF | Subpart FF—CAIR NO | § 96.154 Compliance with CAIR NO | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006] | (a) Allowance transfer deadline. The CAIR NO X allowances are available to be deducted for compliance with a source's CAIR NO X emissions limitation for a control period in a given calendar year only if the CAIR NO X allowances: (1) Were allocated for the control period in the year or a prior year; and (2) Are held in the compliance account as of the allowance transfer deadline for the control period or are transferred into the compliance account by a CAIR NO X allowance transfer correctly submitted for recordation under §§ 96.160 and 96.161 by the allowance transfer deadline for the control period. (b) Deductions for compliance. Following the recordation, in accordance with § 96.161, of CAIR NO X allowance transfers submitted for recordation in a source's compliance account by the allowance transfer deadline for a control period, the Administrator will deduct from the compliance account CAIR NO X allowances available under paragraph (a) of this section in order to determine whether the source meets the CAIR NO X emissions limitation for the control period, as follows: (1) Until the amount of CAIR NO X allowances deducted equals the number of tons of total nitrogen oxides emissions, determined in accordance with subpart HH of this part, from all CAIR NO X units at the source for the control period; or (2) If there are insufficient CAIR NO X allowances to complete the deductions in paragraph (b)(1) of this section, until no more CAIR NO X allowances available under paragraph (a) of this section remain in the compliance account. (c)(1) Identification of CAIR NO X allowances by serial number. The CAIR authorized account representative for a source's compliance account may request that specific CAIR NO X allowances, identified by serial number, in the compliance account be deducted for emissions or excess emissions for a control period in accordance with paragraph (b) or (d) of this section. Such request shall be submitted to the Administrator by the allowance transfer deadline for the contr… | |||
| 40:40:22.0.1.1.12.17.1.6 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | FF | Subpart FF—CAIR NO | § 96.155 Banking. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006] | (a) CAIR NO X allowances may be banked for future use or transfer in a compliance account or a general account in accordance with paragraph (b) of this section. (b) Any CAIR NO X allowance that is held in a compliance account or a general account will remain in such account unless and until the CAIR NO X allowance is deducted or transferred under § 96.154, § 96.156, or subpart GG or II of this part. | |||
| 40:40:22.0.1.1.12.17.1.7 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | FF | Subpart FF—CAIR NO | § 96.156 Account error. | EPA | The Administrator may, at his or her sole discretion and on his or her own motion, correct any error in any CAIR NO X Allowance Tracking System account. Within 10 business days of making such correction, the Administrator will notify the CAIR authorized account representative for the account. | ||||
| 40:40:22.0.1.1.12.17.1.8 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | FF | Subpart FF—CAIR NO | § 96.157 Closing of general accounts. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006] | (a) The CAIR authorized account representative of a general account may submit to the Administrator a request to close the account, which shall include a correctly submitted allowance transfer under §§ 96.160 and 96.161 for any CAIR NO X allowances in the account to one or more other CAIR NO X Allowance Tracking System accounts. (b) If a general account has no allowance transfers in or out of the account for a 12-month period or longer and does not contain any CAIR NO X allowances, the Administrator may notify the CAIR authorized account representative for the account that the account will be closed following 20 business days after the notice is sent. The account will be closed after the 20-day period unless, before the end of the 20-day period, the Administrator receives a correctly submitted transfer of CAIR NO X allowances into the account under §§ 96.160 and 96.161 or a statement submitted by the CAIR authorized account representative demonstrating to the satisfaction of the Administrator good cause as to why the account should not be closed. | |||
| 40:40:22.0.1.1.12.18.1.1 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | GG | Subpart GG—CAIR NO | § 96.160 Submission of CAIR NO | EPA | A CAIR authorized account representative seeking recordation of a CAIR NO X allowance transfer shall submit the transfer to the Administrator. To be considered correctly submitted, the CAIR NO X allowance transfer shall include the following elements, in a format specified by the Administrator: (a) The account numbers for both the transferor and transferee accounts; (b) The serial number of each CAIR NO X allowance that is in the transferor account and is to be transferred; and (c) The name and signature of the CAIR authorized account representative of the transferor account and the date signed. | ||||
| 40:40:22.0.1.1.12.18.1.2 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | GG | Subpart GG—CAIR NO | § 96.161 EPA recordation. | EPA | (a) Within 5 business days (except as provided in paragraph (b) of this section) of receiving a CAIR NO X allowance transfer, the Administrator will record a CAIR NO X allowance transfer by moving each CAIR NO X allowance from the transferor account to the transferee account as specified by the request, provided that: (1) The transfer is correctly submitted under § 96.160; and (2) The transferor account includes each CAIR NO X allowance identified by serial number in the transfer. (b) A CAIR NO X allowance transfer that is submitted for recordation after the allowance transfer deadline for a control period and that includes any CAIR NO X allowances allocated for any control period before such allowance transfer deadline will not be recorded until after the Administrator completes the deductions under § 96.154 for the control period immediately before such allowance transfer deadline. (c) Where a CAIR NO X allowance transfer submitted for recordation fails to meet the requirements of paragraph (a) of this section, the Administrator will not record such transfer. | ||||
| 40:40:22.0.1.1.12.18.1.3 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | GG | Subpart GG—CAIR NO | § 96.162 Notification. | EPA | (a) Notification of recordation. Within 5 business days of recordation of a CAIR NO X allowance transfer under § 96.161, the Administrator will notify the CAIR authorized account representatives of both the transferor and transferee accounts. (b) Notification of non-recordation. Within 10 business days of receipt of a CAIR NO X allowance transfer that fails to meet the requirements of § 96.161(a), the Administrator will notify the CAIR authorized account representatives of both accounts subject to the transfer of: (1) A decision not to record the transfer, and (2) The reasons for such non-recordation. (c) Nothing in this section shall preclude the submission of a CAIR NO X allowance transfer for recordation following notification of non-recordation. | ||||
| 40:40:22.0.1.1.12.19.1.1 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | HH | Subpart HH—Monitoring and Reporting | § 96.170 General requirements. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006] | The owners and operators, and to the extent applicable, the CAIR designated representative, of a CAIR NO X unit, shall comply with the monitoring, recordkeeping, and reporting requirements as provided in this subpart and in subpart H of part 75 of this chapter. For purposes of complying with such requirements, the definitions in § 96.102 and in § 72.2 of this chapter shall apply, and the terms “affected unit,” “designated representative,” and “continuous emission monitoring system” (or “CEMS”) in part 75 of this chapter shall be deemed to refer to the terms “CAIR NO X unit,” “CAIR designated representative,” and “continuous emission monitoring system” (or “CEMS”) respectively, as defined in § 96.102. The owner or operator of a unit that is not a CAIR NO X unit but that is monitored under § 75.72(b)(2)(ii) of this chapter shall comply with the same monitoring, recordkeeping, and reporting requirements as a CAIR NO X unit. (a) Requirements for installation, certification, and data accounting. The owner or operator of each CAIR NO X unit shall: (1) Install all monitoring systems required under this subpart for monitoring NO X mass emissions and individual unit heat input (including all systems required to monitor NO X emission rate, NO X concentration, stack gas moisture content, stack gas flow rate, CO 2 or O 2 concentration, and fuel flow rate, as applicable, in accordance with §§ 75.71 and 75.72 of this chapter); (2) Successfully complete all certification tests required under § 96.171 and meet all other requirements of this subpart and part 75 of this chapter applicable to the monitoring systems under paragraph (a)(1) of this section; and (3) Record, report, and quality-assure the data from the monitoring systems under paragraph (a)(1) of this section. (b) Compliance deadlines. Except as provided in paragraph (e) of this section, the owner or operator shall meet the monitoring system certification and other requirements of paragraphs (a)(1) and (2) of this section on or before the following da… | |||
| 40:40:22.0.1.1.12.19.1.2 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | HH | Subpart HH—Monitoring and Reporting | § 96.171 Initial certification and recertification procedures. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006] | (a) The owner or operator of a CAIR NO X unit shall be exempt from the initial certification requirements of this section for a monitoring system under § 96.170(a)(1) if the following conditions are met: (1) The monitoring system has been previously certified in accordance with part 75 of this chapter; and (2) The applicable quality-assurance and quality-control requirements of § 75.21 of this chapter and appendix B, appendix D, and appendix E to part 75 of this chapter are fully met for the certified monitoring system described in paragraph (a)(1) of this section. (b) The recertification provisions of this section shall apply to a monitoring system under § 96.170(a)(1) exempt from initial certification requirements under paragraph (a) of this section. (c) If the Administrator has previously approved a petition under § 75.17(a) or (b) of this chapter for apportioning the NO X emission rate measured in a common stack or a petition under § 75.66 of this chapter for an alternative to a requirement in § 75.12 or § 75.17 of this chapter, the CAIR designated representative shall resubmit the petition to the Administrator under § 96.175(a) to determine whether the approval applies under the CAIR NO X Annual Trading Program. (d) Except as provided in paragraph (a) of this section, the owner or operator of a CAIR NO X unit shall comply with the following initial certification and recertification procedures for a continuous monitoring system ( i.e. , a continuous emission monitoring system and an excepted monitoring system under appendices D and E to part 75 of this chapter) under § 96.170(a)(1). The owner or operator of a unit that qualifies to use the low mass emissions excepted monitoring methodology under § 75.19 of this chapter or that qualifies to use an alternative monitoring system under subpart E of part 75 of this chapter shall comply with the procedures in paragraph (e) or (f) of this section respectively. (1) Requirements for initial certification. The owner or operator shall ensure that each contin… | |||
| 40:40:22.0.1.1.12.19.1.3 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | HH | Subpart HH—Monitoring and Reporting | § 96.172 Out of control periods. | EPA | (a) Whenever any monitoring system fails to meet the quality-assurance and quality-control requirements or data validation requirements of part 75 of this chapter, data shall be substituted using the applicable missing data procedures in subpart D or subpart H of, or appendix D or appendix E to, part 75 of this chapter. (b) Audit decertification. Whenever both an audit of a monitoring system and a review of the initial certification or recertification application reveal that any monitoring system should not have been certified or recertified because it did not meet a particular performance specification or other requirement under § 96.171 or the applicable provisions of part 75 of this chapter, both at the time of the initial certification or recertification application submission and at the time of the audit, the permitting authority or, for a CAIR NO X opt-in unit or a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under subpart II of this part, the Administrator will issue a notice of disapproval of the certification status of such monitoring system. For the purposes of this paragraph, an audit shall be either a field audit or an audit of any information submitted to the permitting authority or the Administrator. By issuing the notice of disapproval, the permitting authority or the Administrator revokes prospectively the certification status of the monitoring system. The data measured and recorded by the monitoring system shall not be considered valid quality-assured data from the date of issuance of the notification of the revoked certification status until the date and time that the owner or operator completes subsequently approved initial certification or recertification tests for the monitoring system. The owner or operator shall follow the applicable initial certification or recertification procedures in § 96.171 for each disapproved monitoring system. | ||||
| 40:40:22.0.1.1.12.19.1.4 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | HH | Subpart HH—Monitoring and Reporting | § 96.173 Notifications. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006] | The CAIR designated representative for a CAIR NO X unit shall submit written notice to the permitting authority and the Administrator in accordance with § 75.61 of this chapter. | |||
| 40:40:22.0.1.1.12.19.1.5 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | HH | Subpart HH—Monitoring and Reporting | § 96.174 Recordkeeping and reporting. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006] | (a) General provisions. The CAIR designated representative shall comply with all recordkeeping and reporting requirements in this section, the applicable recordkeeping and reporting requirements under § 75.73 of this chapter, and the requirements of § 96.110(e)(1). (b) Monitoring Plans. The owner or operator of a CAIR NO X unit shall comply with requirements of § 75.73(c) and (e) of this chapter and, for a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under subpart II of this part, §§ 96.183 and 96.184(a). (c) Certification Applications. The CAIR designated representative shall submit an application to the permitting authority within 45 days after completing all initial certification or recertification tests required under § 96.171, including the information required under § 75.63 of this chapter. (d) Quarterly reports. The CAIR designated representative shall submit quarterly reports, as follows: (1) The CAIR designated representative shall report the NO X mass emissions data and heat input data for the CAIR NO X unit, in an electronic quarterly report in a format prescribed by the Administrator, for each calendar quarter beginning with: (i) For a unit that commences commercial operation before July 1, 2007, the calendar quarter covering January 1, 2008 through March 31, 2008; (ii) For a unit that commences commercial operation on or after July 1, 2007, the calendar quarter corresponding to the earlier of the date of provisional certification or the applicable deadline for initial certification under § 96.170(b), unless that quarter is the third or fourth quarter of 2007, in which case reporting shall commence in the quarter covering January 1, 2008 through March 31, 2008; (iii) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section, for a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under subpart II of this part, the… | |||
| 40:40:22.0.1.1.12.19.1.6 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | HH | Subpart HH—Monitoring and Reporting | § 96.175 Petitions. | EPA | (a) Except as provided in paragraph (b)(2) of this section, the CAIR designated representative of a CAIR NO X unit that is subject to an Acid Rain emissions limitation may submit a petition under § 75.66 of this chapter to the Administrator requesting approval to apply an alternative to any requirement of this subpart. Application of an alternative to any requirement of this subpart is in accordance with this subpart only to the extent that the petition is approved in writing by the Administrator, in consultation with the permitting authority. (b)(1) The CAIR designated representative of a CAIR NO X unit that is not subject to an Acid Rain emissions limitation may submit a petition under § 75.66 of this chapter to the permitting authority and the Administrator requesting approval to apply an alternative to any requirement of this subpart. Application of an alternative to any requirement of this subpart is in accordance with this subpart only to the extent that the petition is approved in writing by both the permitting authority and the Administrator. (2) The CAIR designated representative of a CAIR NO X unit that is subject to an Acid Rain emissions limitation may submit a petition under § 75.66 of this chapter to the permitting authority and the Administrator requesting approval to apply an alternative to a requirement concerning any additional continuous emission monitoring system required under § 75.72 of this chapter. Application of an alternative to any such requirement is in accordance with this subpart only to the extent that the petition is approved in writing by both the permitting authority and the Administrator. | ||||
| 40:40:22.0.1.1.12.2.1.1 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | B | Subpart B—NO | § 96.10 Authorization and responsibilities of the NO | EPA | (a) Except as provided under § 96.11, each NO X Budget source, including all NO X Budget units at the source, shall have one and only one NO X authorized account representative, with regard to all matters under the NO X Budget Trading Program concerning the source or any NO X Budget unit at the source. (b) The NO X authorized account representative of the NO X Budget source shall be selected by an agreement binding on the owners and operators of the source and all NO X Budget units at the source. (c) Upon receipt by the Administrator of a complete account certificate of representation under § 96.13, the NO X authorized account representative of the source shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each owner and operator of the NO X Budget source represented and each NO X Budget unit at the source in all matters pertaining to the NO X Budget Trading Program, not withstanding any agreement between the NO X authorized account representative and such owners and operators. The owners and operators shall be bound by any decision or order issued to the NO X authorized account representative by the permitting authority, the Administrator, or a court regarding the source or unit. (d) No NO X Budget permit shall be issued, and no NO X Allowance Tracking System account shall be established for a NO X Budget unit at a source, until the Administrator has received a complete account certificate of representation under § 96.13 for a NO X authorized account representative of the source and the NO X Budget units at the source. (e)(1) Each submission under the NO X Budget Trading Program shall be submitted, signed, and certified by the NO X authorized account representative for each NO X Budget source on behalf of which the submission is made. Each such submission shall include the following certification statement by the NO X authorized account representative: “I am authorized to make this submission on behalf of the owners and operators of the … | ||||
| 40:40:22.0.1.1.12.2.1.2 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | B | Subpart B—NO | § 96.11 Alternate NO | EPA | (a) An account certificate of representation may designate one and only one alternate NO X authorized account representative who may act on behalf of the NO X authorized account representative. The agreement by which the alternate NO X authorized account representative is selected shall include a procedure for authorizing the alternate NO X authorized account representative to act in lieu of the NO X authorized account representative. (b) Upon receipt by the Administrator of a complete account certificate of representation under § 96.13, any representation, action, inaction, or submission by the alternate NO X authorized account representative shall be deemed to be a representation, action, inaction, or submission by the NO X authorized account representative. (c) Except in this section and §§ 96.10(a), 96.12, 96.13, and 96.51, whenever the term “NO X authorized account representative” is used in this part, the term shall be construed to include the alternate NO X authorized account representative. | ||||
| 40:40:22.0.1.1.12.2.1.3 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | B | Subpart B—NO | § 96.12 Changing the NO | EPA | (a) Changing the NO X authorized account representative. The NO X authorized account representative may be changed at any time upon receipt by the Administrator of a superseding complete account certificate of representation under § 96.13. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous NO X authorized account representative prior to the time and date when the Administrator receives the superseding account certificate of representation shall be binding on the new NO X authorized account representative and the owners and operators of the NO X Budget source and the NO X Budget units at the source. (b) Changing the alternate NO X authorized account representative. The alternate NO X authorized account representative may be changed at any time upon receipt by the Administrator of a superseding complete account certificate of representation under § 96.13. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate NO X authorized account representative prior to the time and date when the Administrator receives the superseding account certificate of representation shall be binding on the new alternate NO X authorized account representative and the owners and operators of the NO X Budget source and the NO X Budget units at the source. (c) Changes in the owners and operators. (1) In the event a new owner or operator of a NO X Budget source or a NO X Budget unit is not included in the list of owners and operators submitted in the account certificate of representation, such new owner or operator shall be deemed to be subject to and bound by the account certificate of representation, the representations, actions, inactions, and submissions of the NO X authorized account representative and any alternate NO X authorized account representative of the source or unit, and the decisions, orders, actions, and inactions of the permitting authority or the Administrator, as if the new owner or opera… | ||||
| 40:40:22.0.1.1.12.2.1.4 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | B | Subpart B—NO | § 96.13 Account certificate of representation. | EPA | (a) A complete account certificate of representation for a NO X authorized account representative or an alternate NO X authorized account representative shall include the following elements in a format prescribed by the Administrator: (1) Identification of the NO X Budget source and each NO X Budget unit at the source for which the account certificate of representation is submitted. (2) The name, address, e-mail address (if any), telephone number, and facsimile transmission number (if any) of the NO X authorized account representative and any alternate NO X authorized account representative. (3) A list of the owners and operators of the NO X Budget source and of each NO X Budget unit at the source. (4) The following certification statement by the NO X authorized account representative and any alternate NO X authorized account representative: “I certify that I was selected as the NO X authorized account representative or alternate NO X authorized account representative, as applicable, by an agreement binding on the owners and operators of the NO X Budget source and each NO X Budget unit at the source. I certify that I have all the necessary authority to carry out my duties and responsibilities under the NO X Budget Trading Program on behalf of the owners and operators of the NO X Budget source and of each NO X Budget unit at the source and that each such owner and operator shall be fully bound by my representations, actions, inactions, or submissions and by any decision or order issued to me by the permitting authority, the Administrator, or a court regarding the source or unit.” (5) The signature of the NO X authorized account representative and any alternate NO X authorized account representative and the dates signed. (b) Unless otherwise required by the permitting authority or the Administrator, documents of agreement referred to in the account certificate of representation shall not be submitted to the permitting authority or the Administrator. Neither the permitting authority nor the … | ||||
| 40:40:22.0.1.1.12.2.1.5 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | B | Subpart B—NO | § 96.14 Objections concerning the NO | EPA | (a) Once a complete account certificate of representation under § 96.13 has been submitted and received, the permitting authority and the Administrator will rely on the account certificate of representation unless and until a superseding complete account certificate of representation under § 96.13 is received by the Administrator. (b) Except as provided in § 96.12(a) or (b), no objection or other communication submitted to the permitting authority or the Administrator concerning the authorization, or any representation, action, inaction, or submission of the NO X authorized account representative shall affect any representation, action, inaction, or submission of the NO X authorized account representative or the finality of any decision or order by the permitting authority or the Administrator under the NO X Budget Trading Program. (c) Neither the permitting authority nor the Administrator will adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of any NO X authorized account representative, including private legal disputes concerning the proceeds of NO X allowance transfers. | ||||
| 40:40:22.0.1.1.12.20.1.1 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | II | Subpart II—CAIR NO | § 96.180 Applicability. | EPA | A CAIR NO X opt-in unit must be a unit that: (a) Is located in the State; (b) Is not a CAIR NO X unit under § 96.104 and is not covered by a retired unit exemption under § 96.105 that is in effect; (c) Is not covered by a retired unit exemption under § 72.8 of this chapter that is in effect; (d) Has or is required or qualified to have a title V operating permit or other federally enforceable permit; and (e) Vents all of its emissions to a stack and can meet the monitoring, recordkeeping, and reporting requirements of subpart HH of this part. | ||||
| 40:40:22.0.1.1.12.20.1.2 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | II | Subpart II—CAIR NO | § 96.181 General. | EPA | (a) Except as otherwise provided in §§ 96.101 through 96.104, §§ 96.106 through 96.108, and subparts BB and CC and subparts FF through HH of this part, a CAIR NO X opt-in unit shall be treated as a CAIR NO X unit for purposes of applying such sections and subparts of this part. (b) Solely for purposes of applying, as provided in this subpart, the requirements of subpart HH of this part to a unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under this subpart, such unit shall be treated as a CAIR NO X unit before issuance of a CAIR opt-in permit for such unit. | ||||
| 40:40:22.0.1.1.12.20.1.3 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | II | Subpart II—CAIR NO | § 96.182 CAIR designated representative. | EPA | Any CAIR NO X opt-in unit, and any unit for which a CAIR opt-in permit application is submitted and not withdrawn and a CAIR opt-in permit is not yet issued or denied under this subpart, located at the same source as one or more CAIR NO X units shall have the same CAIR designated representative and alternate CAIR designated representative as such CAIR NO X units. | ||||
| 40:40:22.0.1.1.12.20.1.4 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | II | Subpart II—CAIR NO | § 96.183 Applying for CAIR opt-in permit. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006] | (a) Applying for initial CAIR opt-in permit. The CAIR designated representative of a unit meeting the requirements for a CAIR NO X opt-in unit in § 96.180 may apply for an initial CAIR opt-in permit at any time, except as provided under § 96.186(f) and (g), and, in order to apply, must submit the following: (1) A complete CAIR permit application under § 96.122; (2) A certification, in a format specified by the permitting authority, that the unit: (i) Is not a CAIR NO X unit under § 96.104 and is not covered by a retired unit exemption under § 96.105 that is in effect; (ii) Is not covered by a retired unit exemption under § 72.8 of this chapter that is in effect; (iii) Vents all of its emissions to a stack, and (iv) Has documented heat input for more than 876 hours during the 6 months immediately preceding submission of the CAIR permit application under § 96.122; (3) A monitoring plan in accordance with subpart HH of this part; (4) A complete certificate of representation under § 96.113 consistent with § 96.182, if no CAIR designated representative has been previously designated for the source that includes the unit; and (5) A statement, in a format specified by the permitting authority, whether the CAIR designated representative requests that the unit be allocated CAIR NO X allowances under § 96.188(b) or § 96.188(c) (subject to the conditions in §§ 96.184(h) and 96.186(g)). If allocation under § 96.188(c) is requested, this statement shall include a statement that the owners and operators of the unit intend to repower the unit before January 1, 2015 and that they will provide, upon request, documentation demonstrating such intent. (b) Duty to reapply. (1) The CAIR designated representative of a CAIR NO X opt-in unit shall submit a complete CAIR permit application under § 96.122 to renew the CAIR opt-in unit permit in accordance with the permitting authority's regulations for title V operating permits, or the permitting authority's regulations for other federally enforceable permits if applicabl… | |||
| 40:40:22.0.1.1.12.20.1.5 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | II | Subpart II—CAIR NO | § 96.184 Opt-in process. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006; 71 FR 74794, Dec. 13, 2006] | The permitting authority will issue or deny a CAIR opt-in permit for a unit for which an initial application for a CAIR opt-in permit under § 96.183 is submitted in accordance with the following: (a) Interim review of monitoring plan. The permitting authority and the Administrator will determine, on an interim basis, the sufficiency of the monitoring plan accompanying the initial application for a CAIR opt-in permit under § 96.183. A monitoring plan is sufficient, for purposes of interim review, if the plan appears to contain information demonstrating that the NO X emissions rate and heat input of the unit and all other applicable parameters are monitored and reported in accordance with subpart HH of this part. A determination of sufficiency shall not be construed as acceptance or approval of the monitoring plan. (b) Monitoring and reporting. (1)(i) If the permitting authority and the Administrator determine that the monitoring plan is sufficient under paragraph (a) of this section, the owner or operator shall monitor and report the NO X emissions rate and the heat input of the unit and all other applicable parameters, in accordance with subpart HH of this part, starting on the date of certification of the appropriate monitoring systems under subpart HH of this part and continuing until a CAIR opt-in permit is denied under § 96.184(f) or, if a CAIR opt-in permit is issued, the date and time when the unit is withdrawn from the CAIR NO X Annual Trading Program in accordance with § 96.186. (ii) The monitoring and reporting under paragraph (b)(1)(i) of this section shall include the entire control period immediately before the date on which the unit enters the CAIR NO X Annual Trading Program under § 96.184(g), during which period monitoring system availability must not be less than 90 percent under subpart HH of this part and the unit must be in full compliance with any applicable State or Federal emissions or emissions-related requirements. (2) To the extent the NO X emissions rate and the heat input o… | |||
| 40:40:22.0.1.1.12.20.1.6 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | II | Subpart II—CAIR NO | § 96.185 CAIR opt-in permit contents. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006] | (a) Each CAIR opt-in permit will contain: (1) All elements required for a complete CAIR permit application under § 96.122; (2) The certification in § 96.183(a)(2); (3) The unit's baseline heat input under § 96.184(c); (4) The unit's baseline NO X emission rate under § 96.184(d); (5) A statement whether the unit is to be allocated CAIR NO X allowances § 96.188(b) or § 96.188(c) (subject to the conditions in §§ 96.184(h) and 96.186(g)); (6) A statement that the unit may withdraw from the CAIR NO X Annual Trading Program only in accordance with § 96.186; and (7) A statement that the unit is subject to, and the owners and operators of the unit must comply with, the requirements of § 96.187. (b) Each CAIR opt-in permit is deemed to incorporate automatically the definitions of terms under § 96.102 and, upon recordation by the Administrator under subpart FF or GG of this part or this subpart, every allocation, transfer, or deduction of CAIR NO X allowances to or from the compliance account of the source that includes a CAIR NO X opt-in unit covered by the CAIR opt-in permit. (c) The CAIR opt-in permit shall be included, in a format specified by the permitting authority, in the CAIR permit for the source where the CAIR NO X opt-in unit is located and in a title V operating permit or other federally enforceable permit for the source. | |||
| 40:40:22.0.1.1.12.20.1.7 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | II | Subpart II—CAIR NO | § 96.186 Withdrawal from CAIR NO | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006] | Except as provided under paragraph (g) of this section, a CAIR NO X opt-in unit may withdraw from the CAIR NO X Annual Trading Program, but only if the permitting authority issues a notification to the CAIR designated representative of the CAIR NO X opt-in unit of the acceptance of the withdrawal of the CAIR NO X opt-in unit in accordance with paragraph (d) of this section. (a) Requesting withdrawal. In order to withdraw a CAIR CAIR NO X opt-in unit from the CAIR NO X Annual Trading Program, the CAIR designated representative of the CAIR NO X opt-in unit shall submit to the permitting authority a request to withdraw effective as of midnight of December 31 of a specified calendar year, which date must be at least 4 years after December 31 of the year of entry into the CAIR NO X Annual Trading Program under § 96.184(g). The request must be submitted no later than 90 days before the requested effective date of withdrawal. (b) Conditions for withdrawal. Before a CAIR NO X opt-in unit covered by a request under paragraph (a) of this section may withdraw from the CAIR NO X Annual Trading Program and the CAIR opt-in permit may be terminated under paragraph (e) of this section, the following conditions must be met: (1) For the control period ending on the date on which the withdrawal is to be effective, the source that includes the CAIR NO X opt-in unit must meet the requirement to hold CAIR NO X allowances under § 96.106(c) and cannot have any excess emissions. (2) After the requirement for withdrawal under paragraph (b)(1) of this section is met, the Administrator will deduct from the compliance account of the source that includes the CAIR NO X opt-in unit CAIR NO X allowances equal in amount to and allocated for the same or a prior control period as any CAIR NO X allowances allocated to the CAIR NO X opt-in unit under § 96.188 for any control period for which the withdrawal is to be effective. If there are no remaining CAIR NO X units at the source, the Administrator will close the compliance … | |||
| 40:40:22.0.1.1.12.20.1.8 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | II | Subpart II—CAIR NO | § 96.187 Change in regulatory status. | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006; 71 FR 74794, Dec. 13, 2006] | (a) Notification. If a CAIR NO X opt-in unit becomes a CAIR NO X unit under § 96.104, then the CAIR designated representative shall notify in writing the permitting authority and the Administrator of such change in the CAIR NO X opt-in unit's regulatory status, within 30 days of such change. (b) Permitting authority's and Administrator's actions. (1) If a CAIR NO X opt-in unit becomes a CAIR NO X unit under § 96.104, the permitting authority will revise the CAIR NO X opt-in unit's CAIR opt-in permit to meet the requirements of a CAIR permit under § 96.123, and remove the CAIR opt-in permit provisions, as of the date on which the CAIR NO X opt-in unit becomes a CAIR NO X unit under § 96.104. (2)(i) The Administrator will deduct from the compliance account of the source that includes the CAIR NO X opt-in unit that becomes a CAIR NO X unit under § 96.104, CAIR NO X allowances equal in amount to and allocated for the same or a prior control period as: (A) Any CAIR NO X allowances allocated to the CAIR NO X opt-in unit under § 96.188 for any control period after the date on which the CAIR NO X opt-in unit becomes a CAIR NO X unit under § 96.104; and (B) If the date on which the CAIR NO X opt-in unit becomes a CAIR NO X unit under § 96.104 is not December 31, the CAIR NO X allowances allocated to the CAIR NO X opt-in unit under § 96.188 for the control period that includes the date on which the CAIR NO X opt-in unit becomes a CAIR NO X unit under § 96.104, multiplied by the ratio of the number of days, in the control period, starting with the date on which the CAIR NO X opt-in unit becomes a CAIR NO X unit under § 96.104 divided by the total number of days in the control period and rounded to the nearest whole allowance as appropriate. (ii) The CAIR designated representative shall ensure that the compliance account of the source that includes the CAIR NO X opt-in unit that becomes a CAIR NO X unit under § 96.104 contains the CAIR NO X allowances necessary for completion of the deducti… | |||
| 40:40:22.0.1.1.12.20.1.9 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | II | Subpart II—CAIR NO | § 96.188 CAIR NO | EPA | [70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006] | (a) Timing requirements. (1) When the CAIR opt-in permit is issued under § 96.184(e), the permitting authority will allocate CAIR NO X allowances to the CAIR NO X opt-in unit, and submit to the Administrator the allocation for the control period in which a CAIR NO X opt-in unit enters the CAIR NO X Annual Trading Program under § 96.184(g), in accordance with paragraph (b) or (c) of this section. (2) By no later than October 31 of the control period after the control period in which a CAIR NO X opt-in unit enters the CAIR NO X Annual Trading Program under § 96.184(g) and October 31 of each year thereafter, the permitting authority will allocate CAIR NO X allowances to the CAIR NO X opt-in unit, and submit to the Administrator the allocation for the control period that includes such submission deadline and in which the unit is a CAIR NO X opt-in unit, in accordance with paragraph (b) or (c) of this section. (b) Calculation of allocation. For each control period for which a CAIR NO X opt-in unit is to be allocated CAIR NO X allowances, the permitting authority will allocate in accordance with the following procedures: (1) The heat input (in mmBtu) used for calculating the CAIR NO X allowance allocation will be the lesser of: (i) The CAIR NO X opt-in unit's baseline heat input determined under § 96.184(c); or (ii) The CAIR NO X opt-in unit's heat input, as determined in accordance with subpart HH of this part, for the immediately prior control period, except when the allocation is being calculated for the control period in which the CAIR NO X opt-in unit enters the CAIR NO X Annual Trading Program under § 96.184(g). (2) The NO X emission rate (in lb/mmBtu) used for calculating CAIR NO X allowance allocations will be the lesser of: (i) The CAIR NO X opt-in unit's baseline NO X emissions rate (in lb/mmBtu) determined under § 96.184(d) and multiplied by 70 percent; or (ii) The most stringent State or Federal NO X emissions limitation applicable to the CAIR NO X opt-in unit at any time d… | |||
| 40:40:22.0.1.1.12.22.1.1 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AAA | Subpart AAA—CAIR SO | § 96.201 Purpose. | EPA | This subpart and subparts BBB through III establish the model rule comprising general provisions and the designated representative, permitting, allowance, monitoring, and opt-in provisions for the State Clean Air Interstate Rule (CAIR) SO 2 Trading Program, under section 110 of the Clean Air Act and § 51.124 of this chapter, as a means of mitigating interstate transport of fine particulates and sulfur dioxide. The owner or operator of a unit or a source shall comply with the requirements of this subpart and subparts BBB through III as a matter of federal law only if the State with jurisdiction over the unit and the source incorporates by reference such subparts or otherwise adopts the requirements of such subparts in accordance with § 51.124(o)(1) or (2) of this chapter, the State submits to the Administrator one or more revisions of the State implementation plan that include such adoption, and the Administrator approves such revisions. If the State adopts the requirements of such subparts in accordance with § 51.124(o)(1) or (2) of this chapter, then the State authorizes the Administrator to assist the State in implementing the CAIR SO 2 Trading Program by carrying out the functions set forth for the Administrator in such subparts. | ||||
| 40:40:22.0.1.1.12.22.1.2 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AAA | Subpart AAA—CAIR SO | § 96.202 Definitions. | EPA | [70 FR 25362, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006; 71 FR 74794, Dec. 13, 2006; 72 FR 59206, Oct. 19, 2007] | The terms used in this subpart and subparts BBB through III shall have the meanings set forth in this section as follows: Account number means the identification number given by the Administrator to each CAIR SO 2 Allowance Tracking System account. Acid Rain emissions limitation means a limitation on emissions of sulfur dioxide or nitrogen oxides under the Acid Rain Program. Acid Rain Program means a multi-state sulfur dioxide and nitrogen oxides air pollution control and emission reduction program established by the Administrator under title IV of the CAA and parts 72 through 78 of this chapter. Administrator means the Administrator of the United States Environmental Protection Agency or the Administrator's duly authorized representative. Allocate or allocation means, with regard to CAIR SO 2 allowances issued under the Acid Rain Program, the determination by the Administrator of the amount of such CAIR SO 2 allowances to be initially credited to a CAIR SO 2 unit or other entity and, with regard to CAIR SO 2 allowances issued under provisions of a State implementation plan that are approved under § 51.124(o)(1) or (2) or (r) of this chapter or § 97.288 of this chapter, the determination by a permitting authority of the amount of such CAIR SO 2 allowances to be initially credited to a CAIR SO 2 unit or other entity. Allowance transfer deadline means, for a control period, midnight of March 1 (if it is a business day), or midnight of the first business day thereafter (if March 1 is not a business day), immediately following the control period and is the deadline by which a CAIR SO 2 allowance transfer must be submitted for recordation in a CAIR SO 2 source's compliance account in order to be used to meet the source's CAIR SO 2 emissions limitation for such control period in accordance with § 96.254. Alternate CAIR designated representative means, for a CAIR SO 2 source and each CAIR SO 2 unit at the source, the natural person who is authorized by the owners and operators of the source a… | |||
| 40:40:22.0.1.1.12.22.1.3 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AAA | Subpart AAA—CAIR SO | § 96.203 Measurements, abbreviations, and acronyms. | EPA | [71 FR 25387, Apr. 28, 2006] | Measurements, abbreviations, and acronyms used in this subpart and subparts BBB through III are defined as follows: Btu—British thermal unit CO 2 —carbon dioxide H 2 O—water Hg—mercury hr—hour kW—kilowatt electrical kWh—kilowatt hour lb—pound mmBtu—million Btu MWe—megawatt electrical MWh—megawatt hour NO X —nitrogen oxides O 2 —oxygen ppm—parts per million scfh—standard cubic feet per hour SO 2 —sulfur dioxide yr—year | |||
| 40:40:22.0.1.1.12.22.1.4 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AAA | Subpart AAA—CAIR SO | § 96.204 Applicability. | EPA | [71 FR 25387, Apr. 28, 2006] | (a) Except as provided in paragraph (b) of this section: (1) The following units in a State shall be CAIR SO 2 units, and any source that includes one or more such units shall be a CAIR SO 2 source, subject to the requirements of this subpart and subparts BBB through HHH of this part: any stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine serving at any time, since the later of November 15, 1990 or the start-up of the unit's combustion chamber, a generator with nameplate capacity of more than 25 MWe producing electricity for sale. (2) If a stationary boiler or stationary combustion turbine that, under paragraph (a)(1) of this section, is not a CAIR SO 2 unit begins to combust fossil fuel or to serve a generator with nameplate capacity of more than 25 MWe producing electricity for sale, the unit shall become a CAIR SO 2 unit as provided in paragraph (a)(1) of this section on the first date on which it both combusts fossil fuel and serves such generator. (b) The units in a State that meet the requirements set forth in paragraph (b)(1)(i), (b)(2)(i), or (b)(2)(ii) of this section shall not be CAIR SO 2 units: (1)(i) Any unit that is a CAIR SO 2 unit under paragraph (a)(1) or (2) of this section: (A) Qualifying as a cogeneration unit during the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration unit; and (B) Not serving at any time, since the later of November 15, 1990 or the start-up of the unit's combustion chamber, a generator with nameplate capacity of more than 25 MWe supplying in any calendar year more than one-third of the unit's potential electric output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale. (ii) If a unit qualifies as a cogeneration unit during the 12-month period starting on the date the unit first produces electricity and meets the requirements of paragraphs (b)(1)(i) of this section for at least one calendar year, but subsequently … | |||
| 40:40:22.0.1.1.12.22.1.5 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AAA | Subpart AAA—CAIR SO | § 96.205 Retired unit exemption. | EPA | [70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006] | (a)(1) Any CAIR SO 2 unit that is permanently retired and is not a CAIR SO 2 opt-in unit under subpart III of this part shall be exempt from the CAIR SO 2 Trading Program, except for the provisions of this section, § 96.202, § 96.203, § 96.204, § 96.206(c)(4) through (7), § 96.207, § 96.208, and subparts BBB, FFF, and GGG of this part. (2) The exemption under paragraph (a)(1) of this section shall become effective the day on which the CAIR SO 2 unit is permanently retired. Within 30 days of the unit's permanent retirement, the CAIR designated representative shall submit a statement to the permitting authority otherwise responsible for administering any CAIR permit for the unit and shall submit a copy of the statement to the Administrator. The statement shall state, in a format prescribed by the permitting authority, that the unit was permanently retired on a specific date and will comply with the requirements of paragraph (b) of this section. (3) After receipt of the statement under paragraph (a)(2) of this section, the permitting authority will amend any permit under subpart CCC of this part covering the source at which the unit is located to add the provisions and requirements of the exemption under paragraphs (a)(1) and (b) of this section. (b) Special provisions. (1) A unit exempt under paragraph (a) of this section shall not emit any sulfur dioxide, starting on the date that the exemption takes effect. (2) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under paragraph (a) of this section shall retain, at the source that includes the unit, records demonstrating that the unit is permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period, in writing by the permitting authority or the Administrator. The owners and operators bear the burden of proof that the unit is permanently retired. (3) The owners and operators and, to the extent applicable, the CAIR designated representativ… | |||
| 40:40:22.0.1.1.12.22.1.6 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AAA | Subpart AAA—CAIR SO | § 96.206 Standard requirements. | EPA | [70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006; 71 FR 74794, Dec. 13, 2006] | (a) Permit requirements. (1) The CAIR designated representative of each CAIR SO 2 source required to have a title V operating permit and each CAIR SO 2 unit required to have a title V operating permit at the source shall: (i) Submit to the permitting authority a complete CAIR permit application under § 96.222 in accordance with the deadlines specified in § 96.221; and (ii) Submit in a timely manner any supplemental information that the permitting authority determines is necessary in order to review a CAIR permit application and issue or deny a CAIR permit. (2) The owners and operators of each CAIR SO 2 source required to have a title V operating permit and each CAIR SO 2 unit required to have a title V operating permit at the source shall have a CAIR permit issued by the permitting authority under subpart CCC of this part for the source and operate the source and the unit in compliance with such CAIR permit. (3) Except as provided in subpart III of this part, the owners and operators of a CAIR SO 2 source that is not otherwise required to have a title V operating permit and each CAIR SO 2 unit that is not otherwise required to have a title V operating permit are not required to submit a CAIR permit application, and to have a CAIR permit, under subpart CCC of this part for such CAIR SO 2 source and such CAIR SO 2 unit. (b) Monitoring, reporting, and recordkeeping requirements. (1) The owners and operators, and the CAIR designated representative, of each CAIR SO 2 source and each CAIR SO 2 unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of subpart HHH of this part. (2) The emissions measurements recorded and reported in accordance with subpart HHH of this part shall be used to determine compliance by each CAIR SO 2 source with the CAIR SO 2 emissions limitation under paragraph (c) of this section. (c) Sulfur dioxide emission requirements. (1) As of the allowance transfer deadline for a control period, the owners and operators of each CAIR SO 2 … | |||
| 40:40:22.0.1.1.12.22.1.7 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AAA | Subpart AAA—CAIR SO | § 96.207 Computation of time. | EPA | (a) Unless otherwise stated, any time period scheduled, under the CAIR SO 2 Trading Program, to begin on the occurrence of an act or event shall begin on the day the act or event occurs. (b) Unless otherwise stated, any time period scheduled, under the CAIR SO 2 Trading Program, to begin before the occurrence of an act or event shall be computed so that the period ends the day before the act or event occurs. (c) Unless otherwise stated, if the final day of any time period, under the CAIR SO 2 Trading Program, falls on a weekend or a State or Federal holiday, the time period shall be extended to the next business day. | ||||
| 40:40:22.0.1.1.12.22.1.8 | 40 | Protection of Environment | I | C | 96 | PART 96—NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS FOR STATE IMPLEMENTATION PLANS | AAA | Subpart AAA—CAIR SO | § 96.208 Appeal procedures. | EPA | The appeal procedures for decisions of the Administrator under the CAIR SO 2 Trading Program are set forth in part 78 of this chapter. |
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title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
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subpart TEXT,
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agency TEXT,
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CREATE INDEX idx_cfr_agency ON cfr_sections(agency);